Christian William Mcgowan

Principal Securities, Inc.

CRD 5886953

Claim This Profile

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:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-03-25
MI	RA	APPROVED	2019-04-24

TX RA
APPROVED_RES

Since 2024-03-25
MI RA
APPROVED

Since 2019-04-24

Branch Locations

Detroit, MI • United States

711 High St, Des Moines, IA 50392 • 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

Organization	City	State	From	To
John Hancock Funds, Llc	Boston	MA	01/2011	10/2016
John Hancock	Detroit	MI	09/2016	12/2018
John Hancock Distributors Llc	Oak	IL	10/2016	12/2018
Principal Life Insurance	Detroit	MI	01/2019	Present
Principal Securities Inc	Detroit	MI	01/2019	Present

01/2011 → 10/2016

John Hancock Funds, Llc

Boston, MA
09/2016 → 12/2018

John Hancock

Detroit, MI
10/2016 → 12/2018

John Hancock Distributors Llc

Oak, IL
01/2019 → Present

Principal Life Insurance

Detroit, MI
01/2019 → Present

Principal Securities Inc

Detroit, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-04-23
S63	Uniform Securities Agent State Law Examination	2011-02-18

S65 Uniform Investment Adviser Law Examination

2019-04-23
S63 Uniform Securities Agent State Law Examination

2011-02-18

View on SEC IAPD

More in Detroit, MI

Reviews

No reviews yet

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor