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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2021-07-09
  • IA RA
    APPROVED
    Since 2021-07-09

Branch Locations

6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • 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
OrganizationCityStateFromTo
Btwi Perry IA 06/2016 07/2017
Perry Airport Perry IA 07/2017 11/2017
Mediacom Des Moines IA 11/2017 06/2020
Unemployed Lamoni IA 06/2020 09/2020
Verizon Wireless Grimes IA 09/2020 02/2021
Principal Securities Inc West Des Moines IA 02/2021 Present
Principal Life Insurance Company West Des Moines IA 02/2021 Present
  • 06/2016 → 07/2017
    Btwi
    Perry, IA
  • 07/2017 → 11/2017
    Perry Airport
    Perry, IA
  • 11/2017 → 06/2020
    Mediacom
    Des Moines, IA
  • 06/2020 → 09/2020
    Unemployed
    Lamoni, IA
  • 09/2020 → 02/2021
    Verizon Wireless
    Grimes, IA
  • 02/2021 → Present
    West Des Moines, IA
  • 02/2021 → Present
    Principal Life Insurance Company
    West Des Moines, IA
Other Businesses

***Fixed Insurance; Investment Related; West Des Moines, IA; Agent; Fixed Life, DI, Medical, LTC, Group, Dental, Vision, Health; Start Date: 07/22/2021; 3 hrs per month; 3 during trading hours. SETH COLEMAN POSITION: Self NATURE: Manual Labor INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2022 ADDRESS: 1619 Iowa St., Perry IA 50220, United States DESCRIPTION: Would be installing cameras for Brian Park (a family friend). He is not a client. Would take about two weekends to complete, off and on. SETH M. COLEMAN POSITION: N/A NATURE: Service Work for a Senior Registered Representative (Ed Coleman) INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2022 ADDRESS: 6701 Westown Pkwy. Suite 200, West Des Moines IA 50266, United States DESCRIPTION: Contacting clients who need to take a withdrawal to satisfy their RMD. Contacting clients about their brokerage debit balances in order to satisfy the annual fee. SETH M. COLEMAN POSITION: N/A NATURE: Service work for a senior financial advisor (Ed Coleman) INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 3 START DATE: 11/02/2022 ADDRESS: 6701 Westown Pkwy. Suite 200, West Des Moines IA 50266, United States DESCRIPTION: Following up with or contacting clients regarding withdrawals,trades, RMD's, deposits, scheduling appointments, and any general questions they may have. Along with preforming any of the above duties. SETH M. COLEMAN POSITION: Self NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 14 SECURITIES TRADING HOURS: 0 START DATE: 02/03/2023 ADDRESS: 1619 Iowa St., Perry IA 50220, United States DESCRIPTION: They need me as a consultant in order to set up a point to multi-point camera system on their property. This will all be done over the phone. The intend to pay me for my time.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-03
  • S66 Uniform Combined State Law Examination
    2021-07-03

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