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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2018-02-26 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Covington | KY | 11/2015 | 02/2018 |
| Principal Life Insurance Co | Downers Grove | IL | 02/2018 | Present |
| Principal Securities Inc | Downers Grove | IL | 02/2018 | Present |
PRINCIPAL BANK & PRINCIPAL TRUST CO. POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 3333 Finley Rd., Suite 550, Downers Grove IL 60615, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 2011-03-02 |
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