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James M Follstad

Principal Securities, Inc.

Downers Grove, IL

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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 2021-08-13
IL RA APPROVED 2009-01-20
  • TX RA
    APPROVED_RES
    Since 2021-08-13
  • IL RA
    APPROVED
    Since 2009-01-20

Branch Locations

3333 Finley Rd Ste 500, Downers Grove, IL 60515 • 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 Co Downers Grove IL 01/2008 Present
The Centennial Group Lombard IL 03/2016 10/2016
Washington Avenue Advisors Downers Grove IL 10/2016 01/2020
Principal Securities Inc Downers Grove IL 03/2016 Present
Union Financial Inc. Downers Grove IL 03/2021 Present
  • 01/2008 → Present
    Principal Life Insurance Co
    Downers Grove, IL
  • 03/2016 → 10/2016
    The Centennial Group
    Lombard, IL
  • 10/2016 → 01/2020
    Washington Avenue Advisors
    Downers Grove, IL
  • 03/2016 → Present
    Principal Securities Inc
    Downers Grove, IL
  • 03/2021 → Present
    Union Financial Inc.
    Downers Grove, IL
Other Businesses

***OUTSIDE GROUP BENEFITS/INSURANCE, MEDICAL, LTD, LIFE,11/09/2012. ***Fixed Insurance, Fixed life, health, 09/21/16.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-11
  • S66 Uniform Combined State Law Examination
    2008-02-11
Other Names
  • James Follstad

View on SEC IAPD

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Other Offices

JMG FINANCIAL GROUP LTD · DOWNERS GROVE, IL
ARBOR FINANCIAL SERVICES, LLC · DOWNERS GROVE, IL
CAPSTONE FINANCIAL ADVISORS INC · DOWNERS GROVE, IL
FELDMAN, INGARDONA & CO · DOWNERS GROVE, IL
CLEMENT STREET CAPITAL LLC · DOWNERS GROVE, IL
EAGLE STRATEGIES LLC · DOWNERS GROVE, IL
AMERIPRISE FINANCIAL SERVICES, LLC · DOWNERS GROVE, IL
EDWARD JONES · DOWNERS GROVE, IL

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