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Scott Michael Smith

Principal Securities, Inc.

Lake Oswego, OR

CRD 5224532

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-12-06
OR RA APPROVED 2014-12-02
  • TX RA
    APPROVED_RES
    Since 2022-12-06
  • OR RA
    APPROVED
    Since 2014-12-02

Branch Locations

5885 Meadows Rd Ste 800, Lake Oswego, OR 97035 • 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 Lake Oswego OR 11/2014 Present
Principal Securities, Inc. Lake Oswego OR 03/2016 Present
  • 11/2014 → Present
    Principal Life Insurance Company
    Lake Oswego, OR
  • 03/2016 → Present
    Principal Securities, Inc.
    Lake Oswego, OR
Previous Registrations
  • 2009-03-05 → 2014-11-25
    Msi Financial Services, Inc.
    Lake Oswego, OR
Other Businesses

***Outside Insurance; Investment Related; ; Life, Annuities, LTC, Health, DI; Sales; Start Date: ; hrs per month; during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-02
  • S66 Uniform Combined State Law Examination
    2007-04-02
Other Names
  • Scott Smith

View on SEC IAPD

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