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James Richard Kearney

Principal Securities, Inc.

Des Moines, IA

Ankeny, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2020-09-04
  • IA RA
    APPROVED
    Since 2020-09-04

Branch Locations

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

Ankeny, IA • 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
OrganizationCityStateFromTo
Principal Life Insurance Company Des Moines IA 06/2004 Present
Princor Des Moines IA 06/2004 10/2018
Principal Securities Inc Des Moines IA 08/2020 Present
  • 06/2004 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 06/2004 → 10/2018
    Princor
    Des Moines, IA
  • 08/2020 → Present
    Principal Securities Inc
    Des Moines, IA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-25
  • S66 Uniform Combined State Law Examination
    2008-02-25
Other Names
  • Jamie Richard Kearney
  • James Richard Kearney

View on SEC IAPD

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Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

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