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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2022-06-06
  • IA RA
    APPROVED
    Since 2022-06-06

Branch Locations

Brooklyn, NY • 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
OrganizationCityStateFromTo
Nylife Securities Llc New York NY 01/2012 08/2016
New York Life Insurance Co. New York NY 06/2011 08/2016
Prudential Insurance Company Of America New York NY 09/2016 09/2017
Prudential Investment Management Services, Llc Newark NJ 09/2016 09/2017
Icma-Rc Washington DC 09/2017 04/2022
Mission Square Retirement New York NY 09/2017 04/2022
Principal Life Insurance Des Moines IA 04/2022 Present
Principal Securities Brooklyn NY 05/2022 Present
  • 01/2012 → 08/2016
    Nylife Securities Llc
    New York, NY
  • 06/2011 → 08/2016
    New York Life Insurance Co.
    New York, NY
  • 09/2016 → 09/2017
    Prudential Insurance Company Of America
    New York, NY
  • 09/2016 → 09/2017
    Prudential Investment Management Services, Llc
    Newark, NJ
  • 09/2017 → 04/2022
    Icma-Rc
    Washington, DC
  • 09/2017 → 04/2022
    Mission Square Retirement
    New York, NY
  • 04/2022 → Present
    Principal Life Insurance
    Des Moines, IA
  • 05/2022 → Present
    Principal Securities
    Brooklyn, NY
Other Businesses

DOTDASH POSITION: Content Quality Reviewer NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2022 ADDRESS: 1304 New York Avenue, Brooklyn NY 11203, United States DESCRIPTION: Title: Content Quality Reviewer Role: Ensure editorial content has most accurate sourcing from primary sources for assigned URLs Product and services: Online media content Customer that will be served: Online readers consuming the Dotdash content.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-04-06
  • S63 Uniform Securities Agent State Law Examination
    2012-04-06

View on SEC IAPD

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