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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 2026-02-04
KS RA APPROVED 2023-08-21
  • TX RA
    APPROVED_RES
    Since 2026-02-04
  • KS RA
    APPROVED
    Since 2023-08-21

Branch Locations

11101 Switzer Rd Ste 100, Overland Park, KS 66210 • 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 Securities, Inc. Overland Park KS 02/2014 Present
Heffner Financial Services Overland Park KS 06/2016 08/2019
Stephens - Heffner Financial Partners Overland Park KS 08/2019 Present
Principal Life Insurance Company Overland Park KS 01/2026 Present
  • 02/2014 → Present
    Overland Park, KS
  • 06/2016 → 08/2019
    Heffner Financial Services
    Overland Park, KS
  • 08/2019 → Present
    Stephens - Heffner Financial Partners
    Overland Park, KS
  • 01/2026 → Present
    Principal Life Insurance Company
    Overland Park, KS
Other Businesses

***New Horizon Ranch Inc.; Not Investment Related; Overland Park, KS; Board Member; Create support for organizational mission. Provide financial oversight, no check writing or funds handling. Hire and support the organizations executive director. Serve on board committees when required.; Start Date: 10/01/2018; 15 hrs per month; 0 during trading hours. ***Stephens Heffner Financial Partners; Not Investment Related; Overland Park, KS; Registered Staff; Provide customer service and follow up; Start Date: 08/01/2019; 160 hrs per month; 160 during trading hours. ***New Horizon Ranch; Not Investment Related; Overland Park, KS; Bookkeeper; bookkeeping for non-profit organization. No check writing or handling of fund. Reconcile account to ensure revenues and expenditures are properly recorded and accounted; Start Date: 12/01/2019; 10 hrs per month; 0 during trading hours. ***NEW HORIZONS RANCH POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 1526 Vermont Road, Rantoul KS 66079-9009, United States DESCRIPTION: As a board member, I vote on changes to policy and any needs the ranch may need whether in acquiring materials, labor, or any other strategies that would change direction for the Ranch. We also help with fund raising efforts and general public introductions to the ranch.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-18
S63 Uniform Securities Agent State Law Examination 2007-12-06
  • S66 Uniform Combined State Law Examination
    2023-08-18
  • S63 Uniform Securities Agent State Law Examination
    2007-12-06
Other Names
  • Nick Darrah

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