Jeffrey Todd Douglass

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-30

NY RA
APPROVED

Since 2021-06-30

Branch Locations

4431 Genesee Valley Plaza, Geneseo, NY 14454 • United States

Fairport, NY • United States

3261 Rochester Rd, Lakeville, NY 14480 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Rochester	NY	02/2015	Present
Principal Securities Inc	Rochester	NY	03/2016	Present

02/2015 → Present

Principal Life Insurance Company

Rochester, NY
03/2016 → Present

Principal Securities Inc

Rochester, NY

Other Businesses

***Fixed Insurance; Investment Related; Fairport, NY; Broker; Fixed life, annuities, DI; Start Date: 06/24/2019; 80 hrs per month; 80 during trading hours. ***Score; Investment Related; Fairport, NY; Mentor; provide guidance to individuals looking to start their own business. Guidance is specific to building a business plan, identifying target customers, building go-to-market strategies and sales channels; Start Date: 01/01/2019; 1 hrs per month; 1 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2015-05-14

S63 Uniform Securities Agent State Law Examination

2015-05-14

View on SEC IAPD