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Ashley Lauren Peterson

Principal Securities, Inc.

Omaha, NE

Des Moines, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2025-03-31
  • NE RA
    APPROVED
    Since 2025-03-31

Branch Locations

Omaha, NE • United States

711 High St, Des Moines, IA 50392 • 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
Td Ameritrade Omaha NE 05/2017 12/2022
Mutual Of Omaha Omaha NE 02/2015 05/2017
Charles Schwab & Co., Inc. Omaha NE 11/2022 09/2024
Charles Schwab And Co., Inc. Omaha NE 12/2022 09/2024
Prncipal Life Insurance Co Omaha NE 09/2024 Present
Principal Securities Des Moines IA 09/2024 Present
  • 05/2017 → 12/2022
    Td Ameritrade
    Omaha, NE
  • 02/2015 → 05/2017
    Mutual Of Omaha
    Omaha, NE
  • 11/2022 → 09/2024
    Charles Schwab & Co., Inc.
    Omaha, NE
  • 12/2022 → 09/2024
    Charles Schwab And Co., Inc.
    Omaha, NE
  • 09/2024 → Present
    Prncipal Life Insurance Co
    Omaha, NE
  • 09/2024 → Present
    Principal Securities
    Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-27
S63 Uniform Securities Agent State Law Examination 2017-07-05
  • S66 Uniform Combined State Law Examination
    2025-03-27
  • S63 Uniform Securities Agent State Law Examination
    2017-07-05
Other Names
  • Ashley Peterson
  • Ashley Lauren Peterson

View on SEC IAPD

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