Sara Mills-Gaines

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

• 05/2016 → 03/2018
  Bank Of America, N.A.
  Rohnert Park, CA
• 05/2016 → 03/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rohnert Park, CA
• 09/2018 → 12/2019
  Fun Frame Photo
  Petaluma, CA
• 04/2018 → 08/2018
  Unemployed
  Rohnert Park, CA
• 01/2019 → 04/2024
  Flashbanc - Celero
  Petaluma, CA
• 12/2019 → 05/2021
  Parsonex Securities
  Englewood, CA
• 05/2021 → 01/2022
  G2Po
  Santa Rosa, CA
• 09/2021 → 03/2022
  Clubcorp Financial Management Company
  Santa Rosa, CA
• 01/2022 → 04/2022
  Butcher Crown, Llc
  Petaluma, CA
• 04/2022 → 03/2023
  Poppy Bank
  Santa Rosa, CA
• 10/2023 → Present
  College Of Marin - Transfer To Uc Berkeley
  Kentfield, CA
• 06/2024 → Present
  Principal Life Insurance Company
  Penngrove, CA
• 06/2024 → Present
  Principal Securities, Inc.
  Penngrove, CA

Previous Registrations

• 2021-01-12 → 2021-07-27
  Parsonex Advisory Services, Inc.
  Orange, CA
  Englewood, CO
• 2020-03-16 → 2020-12-31
  Parsonex Advisory Services, Inc.
  Englewood, CO
  Rohnert, CA
• 2016-05-27 → 2018-04-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rohnert Park, CA
  Rohnert Park, CA
  Livermore, CA
  Rohnert Park, CA
  Sonoma, CA
• 2011-01-03 → 2015-06-17
  Wells Fargo Clearing Services, Llc
  Santa Rosa, CA
  Corte Madera, CA
  San Francisco, CA
  Corte Madera, CA
• 2008-04-07 → 2011-01-03
  Wells Fargo Investments, Llc
  Corte Madera, CA
  Petaluma, CA
  Belvedere, CA
  Mill Valley, CA
  Mill Valley, CA

Other Businesses

INSURANCE POSITION: Sara Mills-Gaines NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 10/16/2024 ADDRESS: 500 Ygnacio Valley Rd Ste 270B, Walnut Creek CA 94596, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, P&C, health, and group benefits through various insurance carriers.

Exams

• S66 Uniform Combined State Law Examination
  2024-08-15