Brandon Littleton

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	2021-12-03
WI	RA	APPROVED	2018-07-27

TX RA
APPROVED

Since 2021-12-03
WI RA
APPROVED

Since 2018-07-27

Branch Locations

1815 Executive Dr Ste 2, Oconomowoc, WI 53066 • 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
Fidelity Investments	Westlake	TX	01/2011	07/2018
Principal Life Insurance Company	Oconomowoc	WI	07/2018	Present
Principal Securities Incorparated	Oconomowoc	WI	07/2018	Present
Lake Country Financial Services	Oconomowoc	WI	08/2019	Present
Union Financial Inc	Oconomowoc	WI	04/2021	Present

01/2011 → 07/2018

Fidelity Investments

Westlake, TX
07/2018 → Present

Principal Life Insurance Company

Oconomowoc, WI
07/2018 → Present

Principal Securities Incorparated

Oconomowoc, WI
08/2019 → Present

Lake Country Financial Services

Oconomowoc, WI
04/2021 → Present

Union Financial Inc

Oconomowoc, WI

Previous Registrations

2013-03-12 → 2018-07-15

Strategic Advisers Llc

Oakbrook, IL

Brookefield, WI

Other Businesses

**Fixed Insurance; Investment Related; 561 River Bluff Cir, Oconomowoc, WI 53066; Life, Annuities, DI, LTC, Group, Health; Sales; Start Date: 07/01/2018; 24 hrs per month; 24 during trading hours. **LAKE COUNTRY FINANCIAL SERVICES LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 8 START DATE: 07/15/2024 ADDRESS: 1815 Executive Drive Ste #2, Oconomowoc WI 53066, United States DESCRIPTION: OBA - Lake country financial services LLC. Partnership with Greg Johnson.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-10-24
S63	Uniform Securities Agent State Law Examination	2011-04-15

S65 Uniform Investment Adviser Law Examination

2012-10-24
S63 Uniform Securities Agent State Law Examination

2011-04-15

Designations

Certified Financial Planner

Other Names

Brandon Littleton
Brandon Joshua Littleton

View on SEC IAPD