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Jeremy Joseph Smalley

Principal Advised Services

Minneapolis, MN

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Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-04-05
MN RA APPROVED 2022-10-30
  • IA RA
    APPROVED
    Since 2024-04-05
  • MN RA
    APPROVED
    Since 2022-10-30

Branch Locations

222 S 9Th St Ste 1300, Minneapolis, MN 55402 • 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 Minneapolis MN 04/2007 Present
Principal Securities Inc Minneapolis MN 05/2007 Present
Principal Advised Services Minneapolis MN 10/2022 Present
  • 04/2007 → Present
    Principal Life Insurance Company
    Minneapolis, MN
  • 05/2007 → Present
    Principal Securities Inc
    Minneapolis, MN
  • 10/2022 → Present
    Principal Advised Services
    Minneapolis, MN
Previous Registrations
  • 2005-03-24 → 2007-03-26
    Wells Fargo Investments, Llc
    Blaine, MN
    Blaine, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-23
  • S66 Uniform Combined State Law Examination
    2005-03-23

View on SEC IAPD

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