Lori Ann Calloway

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2014 → 12/2016
  Voya Investment Management
  Scottsdale, AZ
• 05/2014 → 12/2016
  Voya Investments Distributor, Llc
  Windsor, CT
• 05/2014 → 12/2016
  Voya Investment Management Co. Llc
  New York, NY
• 03/2017 → 04/2020
  Foreside Fund Services, Llc
  Fishers, IN
• 02/2017 → 04/2020
  Miller Howard Investments Inc.
  Fishers, IN
• 04/2020 → 07/2020
  Foreside Fund Services, Llc
  Frankfort, IN
• 04/2020 → 07/2020
  Miller Howard Investments Inc.
  Frankfort, IN
• 08/2020 → 01/2021
  Unemployed
  Frankfort, IN
• 02/2021 → Present
  Principal Life Insurance Co
  Frankfort, IN
• 02/2021 → Present
  Principal Securities Inc
  Frankfort, IN
• 02/2024 → Present
  Principal Advised Services
  Frankfort, IN

Previous Registrations

• 2008-11-04 → 2017-01-09
  Voya Investment Management Co. Llc
  New York, NY
  Fishers, IN

Other Businesses

**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/15/2021 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I 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: 02/15/2021 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams

• S66 Uniform Combined State Law Examination
  2023-11-16
• S63 Uniform Securities Agent State Law Examination
  2004-05-17

Other Names

• Lori Calloway