Kevin Philip Paulus

Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

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

Current Employers

Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2024-09-26
MN	RA	APPROVED	2024-09-26

IA RA
APPROVED

Since 2024-09-26
MN RA
APPROVED

Since 2024-09-26

Branch Locations

Savage, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Roseville	MN	01/2011	11/2016
Wells Fargo Bank, N.A.	Roseville	MN	01/2011	06/2021
Wells Fargo Clearing Services	Roseville	MN	11/2016	06/2021
Principal Life Insurance Company	Savage	MN	06/2021	Present
Principal Securities Inc	Savage	MN	07/2021	Present
Principal Advised Services	Savage	MN	06/2024	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Roseville, MN
01/2011 → 06/2021

Wells Fargo Bank, N.A.

Roseville, MN
11/2016 → 06/2021

Wells Fargo Clearing Services

Roseville, MN
06/2021 → Present

Principal Life Insurance Company

Savage, MN
07/2021 → Present

Principal Securities Inc

Savage, MN
06/2024 → Present

Principal Advised Services

Savage, MN

Previous Registrations

2014-01-22 → 2021-06-25

Wells Fargo Clearing Services, Llc

Charlotte, NC

Roseville, MN

Charlotte, NC

Charlotte, NC

Other Businesses

PRINCIPAL ADVISED SERVICES POSITION: Sales Manager NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 8251 Foxberry Drive, Savage MN 55378, United States DESCRIPTION: Supervise: Principal Advised Services IAR, who offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/21/2021 ADDRESS: 8251 Foxberry Drive, Savage MN 55378, United States DESCRIPTION: Supervise reps with Principal Bank, they will at times recommend that a client open a Principal Bank IRA Account if appropriate for their situation.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-09-21
S63	Uniform Securities Agent State Law Examination	2004-04-06

S66 Uniform Combined State Law Examination

2024-09-21
S63 Uniform Securities Agent State Law Examination

2004-04-06

View on SEC IAPD