Anna Dearborn

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

• 11/2013 → 11/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Walnut Creek, CA
• 12/2017 → 11/2020
  Bank Of America, N.A.
  Walnut Creek, CA
• 12/2020 → 09/2023
  Fidelity Investments
  Berkeley, CA
• 09/2023 → Present
  Principal Life Insurance
  Downers Grove, IL
• 09/2023 → Present
  Principal Securities
  Danville, CA
• 09/2023 → Present
  Principal Bank And Principal Trust Company
  Downers Grove, IL

Previous Registrations

• 2020-12-23 → 2023-08-15
  Fidelity Personal And Workplace Advisors
  Berkeley, CA
• 2017-12-15 → 2020-12-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Walnut Creek, CA

Other Businesses

PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/14/2023 ADDRESS: 3333 Finley Rd, Downers Grove IL 60515, United States DESCRIPTION: Formally designed 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.

Exams

• S66 Uniform Combined State Law Examination
  2017-12-14

Other Names

• Anna Dearborn
• Anna Soon Dearborn
• Anna Soon Dearborn
• Anna Steinberger
• Anna D Steinberger
• Anna Dearborn Steinberger
• Anna S Dearborn