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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 2021-03-08
IA RA APPROVED 2011-06-01
  • TX RA
    APPROVED_RES
    Since 2021-03-08
  • IA RA
    APPROVED
    Since 2011-06-01

Branch Locations

Mingo, IA • United States

6701 Westown Pkwy Ste 220, West Des Moines, IA 50266 • 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 Company West Des Moines IA 10/2011 Present
Heartland Financial Resource Group West Des Moines IA 09/2012 Present
Principal Securities Inc West Des Moines IA 03/2016 Present
  • 10/2011 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 09/2012 → Present
    Heartland Financial Resource Group
    West Des Moines, IA
  • 03/2016 → Present
    West Des Moines, IA
Other Businesses

**HEALTH INSURANCE; BROKERING HEALTH INSURANCE THROUGH REYNOLDS & REYNOLDS; 02/14/2012 **OUTSIDE INSURANCE, SELLING OUTSIDE INSURANCE SUCH AS FIXED LIFE INSURANCE, LONG TERM CARE INSURANCE, DISABILITY, AND FIXED ANNUITIES THROUGH VARIOUS CARRIERS OFFERED THROUGH PPN, 4/18/12. **OUTSIDE INSURANCE; INDIVIDUAL AND GROUP MEDICAL, DENTAL, DI; 2/8/13. **Ryan Swalwell Heartland CPAs; Not Investment Related; 6701 Westown Pkwy, Suite 220, West Des Moines, IA 50266; CPA/Owner; CPA, Accounting, Tax Preparation, Advice; Start Date: 05/01/2018; 12 hrs per month; 12 during trading hours. **Farmland; Not Investment Related; Altoona, IA; Owner; May receive income from rent or farming on a custom farming or crop share basis.; Start Date: 06/01/2020; 5 hrs per month; 0 during trading hours. **COMMUNITY FOUNDATION OF GREATER DES MOINES POSITION: Charitable Investment Partner NATURE: Participate in the Charitable Investment Partner Program INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 2 START DATE: 04/15/2024 ADDRESS: 6701 Westown Pkwy, Ste 220, West Des Moines IA 50266, United States DESCRIPTION: For my client's charitable giving purposes, the Community Foundation of Greater Des Moines would set up a fee-based investment account with me to manage.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-17
  • S66 Uniform Combined State Law Examination
    2011-05-17

View on SEC IAPD

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