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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2017-04-19
  • NE RA
    APPROVED
    Since 2017-04-19

Branch Locations

2077 N St Ste 210, Lincoln, NE 68510 • United States

Hickman, NE • United States

18205 Capitol Ave Ste 300, Elkhorn, NE 68022 • 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 Lincoln NE 10/2015 01/2019
Principal Life Insurance Lincoln NE 01/2019 Present
Principal Securities Inc Lincoln NE 03/2016 Present
  • 10/2015 → 01/2019
    Principal Life Insurance Company
    Lincoln, NE
  • 01/2019 → Present
    Principal Life Insurance
    Lincoln, NE
  • 03/2016 → Present
    Lincoln, NE
Other Businesses

**NEBRASKA ARMY NATIONAL GUARD POSITION: Officer NATURE: Military INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 12/07/2014 ADDRESS: 2433 NW 24th Street, Lincoln NE 68524, United States DESCRIPTION: Military Police Officer. **City Council Hickman, NE; Not Investment Related; Hickman, NE; Elected Official; The City Council shall have all powers granted under the laws of the State of Nebraska, including but not limited to the following: 1. To pass ordinances to prevent and remove nuisances; 2. To prevent, restrain and suppress gambling and disorderly houses; 3. To license and regulate amusements; 4. To establish and provide for police protection; 5. To prevent the spread of contagious diseases; 6. To regulate business; 7. To erect, repair, construct and regulate public ways and property; 8. To maintain good government, public welfare and domestic tranquility; and 9. To enforce all ordinances by imposing penalties upon inhabitants or other persons for violation thereof not exceeding the am; Start Date: 11/21/2022; 10 hrs per month; 0 during trading hours. **FIXED INSURANCE POSITION: Life, DI, LTC, Group NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2016 ADDRESS: 2077 N Street, Ste 210, Lincoln NE 68510, United States DESCRIPTION: Sales.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-18
S63 Uniform Securities Agent State Law Examination 2016-01-22
  • S65 Uniform Investment Adviser Law Examination
    2017-04-18
  • S63 Uniform Securities Agent State Law Examination
    2016-01-22

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