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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2023-09-19
  • MO RA
    APPROVED
    Since 2023-09-19

Branch Locations

222 S 9Th St Ste 1400, Minneapolis, MN 55402 • United States

St. Louis, MO • 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 Saint Louis IA 11/2000 Present
Principal Securities, Inc. Saint Louis MO 03/2016 Present
  • 11/2000 → Present
    Principal Life Insurance Company
    Saint Louis, IA
  • 03/2016 → Present
    Saint Louis, MO
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: 02/22/2022 ADDRESS: 625 Maryville Center Drive, Suite 125, St Louis MO 63141, 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-11
  • S66 Uniform Combined State Law Examination
    2007-06-11

View on SEC IAPD

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