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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-16
IA RA APPROVED 2011-05-06
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • IA RA
    APPROVED
    Since 2011-05-06

Branch Locations

119 Sycamore St Ste 300, Muscatine, IA 52761 • 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
OrganizationCityStateFromTo
Principal Life Insurance Company Muscatine IA 06/2008 Present
Retirement Resource Group Muscatine IA 04/2009 Present
Principal Securities Inc Muscatine IA 03/2016 Present
  • 06/2008 → Present
    Principal Life Insurance Company
    Muscatine, IA
  • 04/2009 → Present
    Retirement Resource Group
    Muscatine, IA
  • 03/2016 → Present
    Muscatine, IA
Other Businesses

OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, DISABILITY AND HEALTH INSURANCE THROUGH VARIOUS CARRIERS, 8/29/2012.***Whispering Pines HOA; Not Investment Related; Muscatine, IA; Board Member; Voting member of HOA on finance issues and administration.; Start Date: 08/01/2020; 1 hrs per month; 0 during trading hours. ***RRG Payroll, Inc.; Not Investment Related; Muscatine, IA; Co-owner; Recordkeeping of busines, handling funds, payroll responsibilities. For payment of private staff only.; Start Date: 06/04/2021; 1 hrs per month; 1 during trading hours. LIONS CLUB MUSCATINE POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: PO BOX 173, Muscatine IA 52761, United States DESCRIPTION: President. Write agenda for meetings. Conduct meetings. Oversee the service provided to our community. People with financial hardship in regard to eye care or hearing. Sponsoring diabetes campers, medical college scholarships. Help plan and operate fund raisers for the community. 100% goes back to the community.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-05-04
S63 Uniform Securities Agent State Law Examination 2007-08-04
  • S65 Uniform Investment Adviser Law Examination
    2011-05-04
  • S63 Uniform Securities Agent State Law Examination
    2007-08-04

View on SEC IAPD

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