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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2023-03-15
  • TN RA
    APPROVED
    Since 2023-03-15

Branch Locations

Fitzwilliam, NH • United States

College Grove, TN • 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
Raymond James Financial Services Inc St Petersburg FL 07/2013 07/2019
Raymond James Financial Services St. Petersburg FL 09/2014 07/2019
Suntrust Investment Services,Inc. Atlanta GA 08/2019 02/2023
Suntrust Advisory Services,Inc. Atlanta GA 08/2019 02/2023
Principal Life Insurance Company College Grove TN 02/2023 Present
Principal Securities Inc College Grove TN 03/2023 Present
Edward Jones St Louis MO 02/2023 02/2023
  • 07/2013 → 07/2019
    Raymond James Financial Services Inc
    St Petersburg, FL
  • 09/2014 → 07/2019
    Raymond James Financial Services
    St. Petersburg, FL
  • 08/2019 → 02/2023
    Suntrust Investment Services,Inc.
    Atlanta, GA
  • 08/2019 → 02/2023
    Suntrust Advisory Services,Inc.
    Atlanta, GA
  • 02/2023 → Present
    Principal Life Insurance Company
    College Grove, TN
  • 03/2023 → Present
    College Grove, TN
  • 02/2023 → 02/2023
    Edward Jones
    St Louis, MO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-11
S63 Uniform Securities Agent State Law Examination 2018-08-24
  • S65 Uniform Investment Adviser Law Examination
    2019-09-11
  • S63 Uniform Securities Agent State Law Examination
    2018-08-24
Other Names
  • Andy Esposito

View on SEC IAPD

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