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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 2021-03-08
IA RA APPROVED 2009-06-15
  • TX RA
    APPROVED_RES
    Since 2021-03-08
  • IA RA
    APPROVED
    Since 2009-06-15

Branch Locations

6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • 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 West Des Moines IA 06/2009 Present
Principal Securities Inc W Des Moines IA 06/2009 Present
Kingston Financial Services West Des Moines IA 07/2009 Present
  • 06/2009 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 06/2009 → Present
    W Des Moines, IA
  • 07/2009 → Present
    Kingston Financial Services
    West Des Moines, IA
Previous Registrations
  • 2007-11-02 → 2009-05-13
    West Des Moines, IA
  • 2007-09-03 → 2007-11-05
    A. G. Edwards & Sons, Inc.
    West Des Moines, IA
Other Businesses

***MLPB. 10/2009-PRESENT. OWNER, ENTITY ESTABLISHED FOR TAX PURPOSES TO PAY STAFF AND EXPENSES FOR FINANCIAL SERVICES BUSINESS. ***KINGSTON LIFE AND HEALTH, TEAM UP WITH TIM JOHNSTON OF KINGSTON LIFE AND HEALTH TO SELL GROUP BENEFITS,10/1/2010. ***OUTSIDE INSURANCE, LIFE, 11/03/14. ***Rotary of West Des Moines, Board member, 11/11/15. ***Pheasant Forever Des Moines Chapter, Board Member, 11/11/15. ***Fixed Insurance, Individual and group health, dental, vision, DI, LTC, cancer, travel, 09/23/16. ***Clive Lion's Club, Board, Member, 09/23/16 ***Notary; Not Investment Related; West Des Moines, IA; Notary; Provide notary services to individuals that are not clients of RR.; Start Date: 06/01/2020; 1 hrs per month; 0 during trading hours. ***CLIVE COMMUNITY FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1900 NW 114th Street, Clive IA 50325, United States DESCRIPTION: Title - Board of Directors member. No check writing responsibilities or handling of funds. Role - Participate as a board member to help guide the mission of the foundation to improve the quality of life in Clive.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-01
  • S66 Uniform Combined State Law Examination
    2007-09-01
Other Names
  • Brad Brown

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