Kevin Merle Smith

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-08-24
IA	RA	APPROVED	2010-02-03

TX RA
APPROVED_RES

Since 2022-08-24
IA RA
APPROVED

Since 2010-02-03

Branch Locations

Montezuma, IA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Co	Muscatine	ID	06/2008	Present
Retirement Resource Group	Davenport	IA	04/2009	01/2018
Principal Securities Inc	Muscatine	IA	03/2016	Present

06/2008 → Present

Principal Life Insurance Co

Muscatine, ID
04/2009 → 01/2018

Retirement Resource Group

Davenport, IA
03/2016 → Present

Principal Securities Inc

Muscatine, IA

Previous Registrations

2006-05-03 → 2008-06-05

Mwa Financial Services Inc.

Moline, IL

Muscatine, IA

Muscatine, IA

Other Businesses

CAR RESTORATION, COLLECT & RESTORE OLD MUSTANGS WITH INTENTION OF SELLING THEM AT AUCTION, 5/16/12.**RENTAL PROPERTY, OWNER, 8/23/12. ***Fixed Insurance, Annuities, Life, LTC, DI, 12/01/15.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-05-02
S63	Uniform Securities Agent State Law Examination	2004-09-09

S65 Uniform Investment Adviser Law Examination

2006-05-02
S63 Uniform Securities Agent State Law Examination

2004-09-09

View on SEC IAPD