Stephen Aaron West

Principal Securities, Inc.

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Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2014-10-30

IA RA
APPROVED

Since 2014-10-30

Branch Locations

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

Waukee, IA • 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

Organization	City	State	From	To
Princor Financial Services Corporaton	Des Moines	IA	06/2012	Present
Principal Life Insurance Company	Des Moines	IA	06/2012	Present

06/2012 → Present

Princor Financial Services Corporaton

Des Moines, IA
06/2012 → Present

Principal Life Insurance Company

Des Moines, IA

Other Businesses

*West Drone Service LLC; Owner; 06/21/2016

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-10-24

S66 Uniform Combined State Law Examination

2014-10-24

View on SEC IAPD

Other Firms

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EQUITABLE ADVISORS, LLC

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OSAIC WEALTH, INC.

WEST FINANCIAL ADVISORS, L.L.C.

AVANTAX PLANNING PARTNERS, INC.

PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper

ROGER ROBERT RUDEN

Christian Harrison Rogers

ARRON STEVEN CRAMER

RICHARD STEVENS YODER

CHRISTOPHER E JANDA

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA

EQUITABLE ADVISORS, LLC · DES MOINES, IA

LPL FINANCIAL LLC · DES MOINES, IA

OSAIC WEALTH, INC. · DES MOINES, IA

EDWARD JONES · DES MOINES, IA

WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA

AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA

PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

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