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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 2025-08-21
NC RA APPROVED 2011-07-13
  • TX RA
    APPROVED_RES
    Since 2025-08-21
  • NC RA
    APPROVED
    Since 2011-07-13

Branch Locations

4141 Parklake Ave Ste 400, Raleigh, NC 27612 • United States

Raleigh, NC • 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 Bethesda MD 06/2007 Present
Principal Securities Bethesda MD 08/2007 Present
  • 06/2007 → Present
    Principal Life Insurance Company
    Bethesda, MD
  • 08/2007 → Present
    Principal Securities
    Bethesda, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-21
  • S66 Uniform Combined State Law Examination
    2008-10-21

View on SEC IAPD

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