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James Richard Kearney

Principal Securities, Inc.

Des Moines, IA

Ankeny, IA

CRD 4808683

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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

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

Nearby Firms

OSAIC INSTITUTIONS, INC.
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC

Nearby Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers

Nearby Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA

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