Best Investors Account Sign in
Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-01-10
CA RA APPROVED 2024-04-08
  • TX RA
    APPROVED
    Since 2025-01-10
  • CA RA
    APPROVED
    Since 2024-04-08

Branch Locations

1920 Main St Ste 700, Irvine, CA 92614 • 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
Index Strategy Advisors Redondo Beach CA 09/2013 07/2019
Hercules Investments Redondo Beach CA 09/2019 07/2020
Securian Financial Services Inc Newport Beach CA 07/2020 11/2022
Minnesota Life Insurance Co Newport Beach CA 07/2020 11/2022
Tax & Financial Group Newport Beach CA 07/2020 11/2022
Rose Meat Services Inc Vernon CA 10/2018 02/2019
Tst Management Inc Irvine CA 07/2016 01/2019
Massmutual Life Insurance Company Newport Beach CA 11/2022 03/2024
Mml Investors Services, Llc Newport Beach CA 11/2022 03/2024
Principal Securities Inc Irvine CA 03/2024 Present
Principal Life Insurance Company Irvine CA 03/2024 Present
  • 09/2013 → 07/2019
    Index Strategy Advisors
    Redondo Beach, CA
  • 09/2019 → 07/2020
    Hercules Investments
    Redondo Beach, CA
  • 07/2020 → 11/2022
    Securian Financial Services Inc
    Newport Beach, CA
  • 07/2020 → 11/2022
    Minnesota Life Insurance Co
    Newport Beach, CA
  • 07/2020 → 11/2022
    Tax & Financial Group
    Newport Beach, CA
  • 10/2018 → 02/2019
    Rose Meat Services Inc
    Vernon, CA
  • 07/2016 → 01/2019
    Tst Management Inc
    Irvine, CA
  • 11/2022 → 03/2024
    Massmutual Life Insurance Company
    Newport Beach, CA
  • 11/2022 → 03/2024
    Newport Beach, CA
  • 03/2024 → Present
    Irvine, CA
  • 03/2024 → Present
    Principal Life Insurance Company
    Irvine, CA
Previous Registrations
  • 2022-11-16 → 2024-04-09
    Costa Mesa, CA
    Newport Beach, CA
  • 2020-09-09 → 2022-11-18
    Securian Financial Services, Inc.
    Newport Beach, CA
  • 2019-11-08 → 2020-07-16
    Hercules Investments
    Los Angeles, CA
  • 2009-10-05 → 2012-01-20
    Cerritos, CA
    Los Angeles, CA
    Los Angeles, CA
Other Businesses

INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2024 ADDRESS: 575 Anton Blvd., Suite 900, Costa Mesa CA 92626, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-08-07
S65 Uniform Investment Adviser Law Examination 2019-11-07
  • S63 Uniform Securities Agent State Law Examination
    2020-08-07
  • S65 Uniform Investment Adviser Law Examination
    2019-11-07
Other Names
  • Sylvia Ahn

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Irvine, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor