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Holly Ann Utermoehlen

Principal Securities, Inc.

Napa, CA

CRD 5916851

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-26
TX RA APPROVED 2023-04-26
  • CA RA
    APPROVED
    Since 2023-04-26
  • TX RA
    APPROVED
    Since 2023-04-26

Branch Locations

Napa, CA • 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 Napa CA 11/2011 Present
Principal Securities Inc Napa CA 03/2016 Present
Other Businesses

***Fixed Insurance, Health, Dental, Vision, Group Benefits, 09/08/16.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-04-25
S63 Uniform Securities Agent State Law Examination 2012-05-03
  • S65 Uniform Investment Adviser Law Examination
    2023-04-25
  • S63 Uniform Securities Agent State Law Examination
    2012-05-03
Other Names
  • Holly Ann Mckenzie
  • Holly Ann Utermoehlen
  • Holly Ann Mckenzie

View on SEC IAPD

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