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David Lavelle Dickens

Principal Securities, Inc.

Des Moines, IA

Houston, TX

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-06-01
  • TX RA
    APPROVED
    Since 2026-06-01

Branch Locations

711 High St, Des Moines, IA 50392 • United States

Houston, TX • 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
John Hancock Boston MA 03/2012 05/2026
John Hancock Distributors Llc Boston MA 03/2012 05/2026
Manulife Asset Management(Us)Llc Boston MA 12/2012 05/2026
Principal Life Insurance Company Des Moines IA 05/2026 Present
Principal Securities, Inc. Des Moines IA 05/2026 Present
  • 03/2012 → 05/2026
    John Hancock
    Boston, MA
  • 03/2012 → 05/2026
    John Hancock Distributors Llc
    Boston, MA
  • 12/2012 → 05/2026
    Manulife Asset Management(Us)Llc
    Boston, MA
  • 05/2026 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 05/2026 → Present
    Principal Securities, Inc.
    Des Moines , IA
Previous Registrations
  • 2012-12-13 → 2015-12-31
    Manulife Investment Management (Us) Llc
    Atlanta, GA
    Boston, MA
  • 2010-07-15 → 2012-03-15
    Invest Financial Corporation
    Atlanta, GA
  • 2009-01-12 → 2010-03-25
    Securian Financial Services, Inc.
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-23
  • S66 Uniform Combined State Law Examination
    2008-12-23
Designations
Other Names
  • David Dickens

View on SEC IAPD

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AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

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ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

More in Des Moines, IA

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