Gabriela Sanchez Heffernan

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

• 08/2016 → 01/2017
  Lincoln Financial Advisors
  Hermosa Beach, CA
• 12/2016 → 06/2019
  Cuna Mutual Group
  Waverly, IA
• 12/2016 → 06/2019
  Cuna Brokerage Services, Inc
  Waverly, IA
• 06/2019 → Present
  Principal Life Insurance
  Costa Mesa, CA
• 08/2019 → Present
  Principal Securities Inc
  Costa Mesa, CA

Previous Registrations

• 2017-01-27 → 2019-06-28
  Cuna Brokerage Services, Inc.
  Hermosa Beach, CA
  Union, KY
  Hermosa Beach, CA
• 2016-08-31 → 2017-01-12
  Osaic Fa, Inc.
  Hermosa Beach, CA
  Hermosa Beach, CA
  Fort Wayne, IN
• 2013-02-28 → 2014-09-08
  Putnam Investment Management, Llc
  Boston, MA
• 2003-03-03 → 2004-12-03
  Prudential Retirement Brokerage Services, Inc.
  Manhattan Beach, CA
• 2000-10-16 → 2003-01-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA

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: 575 Anton Blvd., Suite 910, Costa Mesa CA 92626, 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 and bank/trust offerings of Principal.

Exams

• S66 Uniform Combined State Law Examination
  2000-09-21

Other Names

• Gabriela Wagenbach
• Gabriela Rosio Wagenbach
• Gabriela R Sanchez
• Gabriela S Heffernan
• Gabriela Sanchez Heffernan
• Gabriela Sanchez Heffernan
• Gabriela Sanchez Heffernan
• Gabriela Sanchez Heffernan
• Gabriela Rocio Sanchez