James Brock Scott

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:

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

Current Employers

Employment History

• 09/2014 → Present
  Principal Life Insurance Company
  Bettendorf, IA
• 09/2014 → Present
  Principal Securities Inc
  Bettendorf, IA
• 01/2026 → Present
  Baxter Investment Group
  Bettendorf, IA

Previous Registrations

• 2008-09-19 → 2014-09-16
  Investment Centers Of America, Inc.
  Moline, IL
  Davenport, IA
  Rock Island, IL
  Elburn, IL
  Geneva, IL
• 2007-11-30 → 2008-09-22
  Thrivent Investment Management Inc.
  Davenport, IA
  St Louis, MO
• 2006-04-04 → 2007-11-28
  Uvest Financial Services Group, Inc.
  Bettendorf, IA
  Davenport, IA
  Davenport, IA
  Davenport, IA
• 2004-08-06 → 2006-04-10
  Ameriprise Financial Services, Llc
  Davenport, IA

Other Businesses

**OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, DISABILITY INSURANCE AND LONG TERM CARE INSURANCE THROUGH VARIOUS CARRIERS, 09/26/2014. **BAXTER INVESTMENT GROUP (DBA) POSITION: Senior Financial Representative NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2026 ADDRESS: 5207 Competition Dr, Bettendorf IA 52722, United States DESCRIPTION: Marketing Purposes. **BAXTER INVESTMENT GROUP, LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 5207 Competition Dr, Bettendorf IA 52722, United States DESCRIPTION: Partnership with Scott Baxter and Brady Baxter.

Exams

• S66 Uniform Combined State Law Examination
  2004-08-05