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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-15
SD RA APPROVED 2023-08-01
  • TX RA
    APPROVED_RES
    Since 2026-01-15
  • SD RA
    APPROVED
    Since 2023-08-01

Branch Locations

4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108 • 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
Principal Life Insurance Company Sioux Falls SD 03/2022 Present
Principal Securities Inc Sioux Falls SD 03/2022 Present
New York Life Sioux Falls SD 09/2012 03/2022
Bloom Financial Services Sioux Falls SD 03/2022 Present
  • 03/2022 → Present
    Principal Life Insurance Company
    Sioux Falls, SD
  • 03/2022 → Present
    Sioux Falls, SD
  • 09/2012 → 03/2022
    New York Life
    Sioux Falls, SD
  • 03/2022 → Present
    Bloom Financial Services
    Sioux Falls, SD
Other Businesses

**OUTSIDE INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 04/12/2022 ADDRESS: 4910 S. Isabel Pl, Sioux Falls SD 57108, United States DESCRIPTION: Fixed life, DI and Annuities. Individual and group health, LTC, medical, dental, life and DI. **HABITAT FOR HUMANITY SIOUX FALLS POSITION: Committee Member NATURE: Habitat Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/15/2005 ADDRESS: 721 E Amidon St, Sioux Falls SD 57104, United States DESCRIPTION: I sit on the committee selects which families/individuals receive a house. There is a 9-month process including a scoring system and a lot of rules/guidelines for qualifying for a house. I do not make any decision alone. I will always be partnered with someone to do any interview of applicant or when a home visit is conducted. All information is then brought to the full committee and put through the scoring system to make sure it is fair for applicants **ROVER POSITION: Rover NATURE: Pet Sitting INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2024 ADDRESS: 1328 W. Whitechurch Lane, Sioux Falls SD 57108, United States DESCRIPTION: Pet sitting in my home for people-mainly on weekends. Rover has an app that is used to process the transactions, etc. and to communicate any requests regarding the care of the dogs

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-29
S63 Uniform Securities Agent State Law Examination 2013-02-28
  • S65 Uniform Investment Adviser Law Examination
    2023-07-29
  • S63 Uniform Securities Agent State Law Examination
    2013-02-28
Other Names
  • Tracy Lee Oberembt
  • Tracey Lee Gran
  • Tracy Lee Gran

View on SEC IAPD

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