Susan Ann Kleczkowski

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

• 09/2016 → 12/2016
  Seucurian Financial Serivices Inc
  St Paul, MN
• 12/2016 → 05/2017
  Securian Financial Services Inc
  St Paul, MN
• 09/2016 → 05/2017
  Minnesota Life Insurance Co
  St Paul, MN
• 05/2016 → 09/2016
  Unemployed
  Lockport, IL
• 06/2017 → 10/2018
  Newport Group, Inc.
  Walnut Creek, CA
• 08/2017 → 10/2018
  Newport Group Securities, Inc.
  Lake Mary, FL
• 10/2018 → Present
  Principal Life Insurance Company
  Downers Grove, IL
• 10/2018 → Present
  Principal Securities, Inc.
  Downers Grove, IL

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: 15456 Admiralty Circle, Unit 9, North Fort Myers FL 33917, 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

• S65 Uniform Investment Adviser Law Examination
  2019-01-18
• S63 Uniform Securities Agent State Law Examination
  2006-12-01

Other Names

• Sue Shake
• Susan Ann Shake