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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-06-17 |
| NE | RA | APPROVED | 2024-06-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Saint Paul | NE | 04/2005 | Present |
| Principal Securities Inc | Saint Paul | NE | 03/2016 | Present |
| Principal Adivised Services | Saint Paul | NE | 04/2024 | Present |
**MIKE LYNCH POSITION: Horse Racing NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/23/2024 ADDRESS: 1594 10th ave, St. Paul NE 68873, United States DESCRIPTION: Horse Racing-Claim 2 horses on my tax ID. My role is the owner of the horses. They race and purse money then is collected if they get into the top 5 of the race. No customers and really no products sold. Just purse money collected if they are in top 5 usually. Some exceptions depend on the race type. **PRINCIPAL BANK POSITION POSITION: Retirement Consultant NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/21/2021 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities. **PRINCIPAL ADVISED SERVICES POSITION POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-24 |
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