Best Investors
Account
Sign in
Best Investors
Account
Sign in
Principal Securities, Inc. CRD 1137
$17.0B regulatory AUM 1,717 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-03-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc. | Greenville | SC | 01/2015 | 03/2017 |
| Massachusetts Mutual Life Insurance Company | Greer | MA | 07/2016 | 03/2023 |
| Mml Investors Services, Llc | Greer | SC | 03/2017 | 03/2023 |
| Principal Securities Inc | Moore | SC | 03/2023 | Present |
| Principal Life Insurance Company | Moore | SC | 03/2023 | Present |
| Clear Path Financial | Moore | SC | 03/2023 | Present |
**FIXED INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/16/2023 ADDRESS: 434 Glen Crest Dr, Moore SC 29369, United States DESCRIPTION: Agent working in sales and service of insurance products consisting of fixed life, fixed annuities, disability, long term care and Medicare supplements. **TUCAPAU BAPTIST CHURCH POSITION: Financial Secretary NATURE: Church Financial Secretary INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2024 ADDRESS: 4 Chestnut St, PO Box 250, Startex SC 29377, United States DESCRIPTION: As the financial secretary for my home church I serve to simply pay the church bills and write checks when directed to by the chairman of the deacons.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-09 |
Reach out to this advisor