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Trevor James Rottinghaus

Principal Securities, Inc.

West Des Moines, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-07
IA RA APPROVED 2024-08-02
  • TX RA
    APPROVED
    Since 2024-08-07
  • IA RA
    APPROVED
    Since 2024-08-02

Branch Locations

6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2015 10/2022
Northwestern Mutual Investment Services Llc Waterloo IA 06/2016 07/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2017 10/2022
Matthew Brian Monaghan Waterloo IA 10/2022 07/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2022 07/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2022 07/2024
Principal Life Insurance Company West Des Moines IA 07/2024 Present
Principal Securities, Inc. West Des Moines IA 07/2024 Present
  • 06/2015 → 10/2022
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2016 → 07/2024
    Northwestern Mutual Investment Services Llc
    Waterloo, IA
  • 11/2017 → 10/2022
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 10/2022 → 07/2024
    Matthew Brian Monaghan
    Waterloo, IA
  • 11/2022 → 07/2024
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 11/2022 → 07/2024
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 07/2024 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 07/2024 → Present
    Principal Securities, Inc.
    West Des Moines, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-07-27
S63 Uniform Securities Agent State Law Examination 2017-09-18
  • S65 Uniform Investment Adviser Law Examination
    2024-07-27
  • S63 Uniform Securities Agent State Law Examination
    2017-09-18
Other Names
  • Trevor Rottinghaus
  • Trevor James Rottinghaus

View on SEC IAPD

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PARK AVENUE SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
LPL FINANCIAL LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA
PARK AVENUE SECURITIES LLC · West Des Moines, IA

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