Joel E Brotherton

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2024-02-13
TX	RA	APPROVED_RES	2021-03-08

ME RA
APPROVED

Since 2024-02-13
TX RA
APPROVED_RES

Since 2021-03-08

Branch Locations

Surry, ME • United States

17600 Chesterfield Airport Rd Ste B2, Chesterfield, MO 63005 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Chesterfield	MO	01/2004	Present
Principal Securities Inc	Chesterfield	MO	03/2016	Present

01/2004 → Present

Principal Life Insurance Company

Chesterfield, MO
03/2016 → Present

Principal Securities Inc

Chesterfield, MO

Other Businesses

OUTSIDE INSURANCE, BROKER, LIFE, DI, LTC, FIXED ANNUITIES, 11/13/13. ***Rental Property; Not Investment Related; Surry, ME; Owner; Own property with spouse to be used as vacation home, with seasonal rental.; Start Date: 06/08/2019; 4 hrs per month; 4 during trading hours. JBMC DREAM BEACH PROPERTIES POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2023 ADDRESS: 138 High St, Box 390, Ellsworth ME 04605, United States DESCRIPTION: Condominium Rental in Roble Sabana condominiums in Reserva Conchal, Guancaste, Costa Rica. Property will be managed by Costa Rican property manager OCC Consultors. All bookings, revenues, expenses will be managed by them. Condo is a 3 bedroom, 2 bathroom unit and will be rented to the general public through various websites (VRBO, AirBnb, Occ Consultores website).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-03-28
S63	Uniform Securities Agent State Law Examination	2004-01-26

S65 Uniform Investment Adviser Law Examination

2006-03-28
S63 Uniform Securities Agent State Law Examination

2004-01-26

View on SEC IAPD