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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 2026-06-04
WY RA APPROVED 2023-09-15
  • TX RA
    APPROVED_RES
    Since 2026-06-04
  • WY RA
    APPROVED
    Since 2023-09-15

Branch Locations

410 E Grand Ave Ste 313, Laramie, WY 82070 • 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
New York Life Insurance Company Casper WY 02/2013 04/2017
Nylife Securities Llc Casper WY 10/2014 04/2017
Bancwest Investment Services, Inc. Laramie WY 04/2017 04/2020
Bank Of The West Laramie WY 04/2017 04/2020
Lpl Financial, Llc Laramie WY 05/2020 09/2023
Principal Life Insurance Company Laramie WY 09/2023 Present
Principal Securities Inc Laramie WY 09/2023 Present
Wildcatter Wealth Management Laramie WY 09/2023 Present
  • 02/2013 → 04/2017
    New York Life Insurance Company
    Casper, WY
  • 10/2014 → 04/2017
    Nylife Securities Llc
    Casper, WY
  • 04/2017 → 04/2020
    Bancwest Investment Services, Inc.
    Laramie, WY
  • 04/2017 → 04/2020
    Bank Of The West
    Laramie, WY
  • 05/2020 → 09/2023
    Laramie, WY
  • 09/2023 → Present
    Principal Life Insurance Company
    Laramie, WY
  • 09/2023 → Present
    Laramie, WY
  • 09/2023 → Present
    Wildcatter Wealth Management
    Laramie, WY
Previous Registrations
  • 2020-05-01 → 2023-09-25
    Laramie, WY
    Highlands Ranch, CO
    Laramie, WY
  • 2017-05-10 → 2020-01-23
    Bancwest Investment Services, Inc.
    Cheyenne, WY
    Laramie, WY
    Cheyenne, WY
    Cheyenne, WY
    Rawlins, WY
    Saratoga, WY
    Wheatland, WY
    Steamboat Springs, CO
    Craig, CO
    Kremmling, CO
    Fraser, CO
    Bridgeport, NE
    Sheridan, WY
Other Businesses

**LOMO LIVESTOCK AND SHOW FEED, LLC POSITION: owner/operator NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2022 ADDRESS: 4433 Soldier Springs Road, Laramie WY 82070, United States DESCRIPTION: I sell show feed and show pigs to the general public. **INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/11/2023 ADDRESS: 410 E Grad Ave, Suite 313, Laramie WY 82070, United States DESCRIPTION: Occasional sales of life insurance, disability, annuities, long term care, health insurance, Medicare supplements, and group benefits not offered by Principal. **ROOTS OUT WEST, LLC POSITION: Realtor NATURE: Real Estate Sales/Broker INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2023 ADDRESS: 412 S 2nd St, Laramie WY 82070, United States DESCRIPTION: I'm a licensed Realtor affiliated with Roots Out West, LLC and I sell the occasional property in Laramie, WY and the surrounding area. I conducted this business activity with the full knowledge and approval of my previous B/D and disclosed it to Principal prior to joining. **CENTENNIAL SOCIAL CLUB POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/18/2024 ADDRESS: 4433 Soldier Springs Road, Laramie WY 82070, United States DESCRIPTION: I've been elected president of a ladies social club, and my primary function is to plan luncheons.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-05-09
S63 Uniform Securities Agent State Law Examination 2015-02-09
  • S65 Uniform Investment Adviser Law Examination
    2017-05-09
  • S63 Uniform Securities Agent State Law Examination
    2015-02-09
Other Names
  • Katie Michelle Price
  • Katie Michelle Ogden
  • Katie Ogden

View on SEC IAPD

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