Michael Alexander Jones

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	2022-07-25

IA RA
APPROVED

Since 2022-07-25

Branch Locations

Knoxville, TN • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Fidelity Brokerage Services, Llc	Jacksonville	FL	09/2012	02/2022
Fidelity Personal And Workplace Advisors	Knoxville	TN	07/2018	02/2022
Unemployed	Knoxville	TN	02/2022	04/2022
Principal Securities Inc	Des Moines	IA	04/2022	Present
Principal Securities Inc	Des Moines	IA	07/2022	Present

09/2012 → 02/2022

Fidelity Brokerage Services, Llc

Jacksonville, FL
07/2018 → 02/2022

Fidelity Personal And Workplace Advisors

Knoxville, TN
02/2022 → 04/2022

Unemployed

Knoxville, TN
04/2022 → Present

Principal Securities Inc

Des Moines, IA
07/2022 → Present

Principal Securities Inc

Des Moines, IA

Previous Registrations

2018-07-13 → 2022-03-17

Fidelity Personal And Workplace Advisors

Knoxville, TN
2013-09-26 → 2018-07-13

Strategic Advisers Llc

Jacksonville, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-09-19
S63	Uniform Securities Agent State Law Examination	2012-12-18

S66 Uniform Combined State Law Examination

2013-09-19
S63 Uniform Securities Agent State Law Examination

2012-12-18

View on SEC IAPD

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