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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-08
MI RA APPROVED 2018-10-29
  • TX RA
    APPROVED_RES
    Since 2021-03-08
  • MI RA
    APPROVED
    Since 2018-10-29

Branch Locations

2425 S 11Th St Ste C, Kalamazoo, MI 49009 • 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
Modern Woodmen Of America Rock Island IL 10/2015 04/2018
Mwa Financial Services Inc. Rock Island IL 11/2015 04/2018
Principal Securities Inc Kalamazoo MI 04/2018 Present
Principal Life Insurance Company Kalamazoo MI 04/2018 Present
  • 10/2015 → 04/2018
    Modern Woodmen Of America
    Rock Island, IL
  • 11/2015 → 04/2018
    Mwa Financial Services Inc.
    Rock Island, IL
  • 04/2018 → Present
    Kalamazoo, MI
  • 04/2018 → Present
    Principal Life Insurance Company
    Kalamazoo, MI
Other Businesses

***Fixed Insurance; Investment Related; Kalamazoo, MI; Agent; Life, Annuities, LTC, DI; Start Date: 02/27/2019; 8 hrs per month; 8 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-26
S63 Uniform Securities Agent State Law Examination 2015-12-14
  • S65 Uniform Investment Adviser Law Examination
    2018-10-26
  • S63 Uniform Securities Agent State Law Examination
    2015-12-14

View on SEC IAPD

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