Cody Robert Sikorski

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2026-03-16
TX	RA	APPROVED_RES	2025-05-14

CT RA
APPROVED

Since 2026-03-16
TX RA
APPROVED_RES

Since 2025-05-14

Branch Locations

Stamford, CT • United States

4830 W Kennedy Blvd Ste 550, Tampa, FL 33609 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Interactive Brokers Group	Greenwich	CT	11/2015	01/2023
Principal Securities, Inc.	Stamford	CT	01/2023	Present
Principal Life Insurance Company	Stamford	CT	01/2023	Present
Finppass Financial Stewardship	Stamford	CT	01/2024	Present

11/2015 → 01/2023

Interactive Brokers Group

Greenwich, CT
01/2023 → Present

Principal Securities, Inc.

Stamford, CT
01/2023 → Present

Principal Life Insurance Company

Stamford, CT
01/2024 → Present

Finppass Financial Stewardship

Stamford, CT

Other Businesses

**FINPPASS FINANCIAL STEWARDSHIP POSITION: Consultant NATURE: Consulting INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 01/19/2023 ADDRESS: 525 Route 73 North, Suite 301, Marlton NJ 08053, United States DESCRIPTION: Assist in the creation, review, and implementation of investment portfolios for Finppass Financial Stewardship clients. **INSURANCE POSITION: Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2024 ADDRESS: 525 Route 73 North, Suite 301, Marlton NJ 08053, United States DESCRIPTION: writing outside insurance products through various carriers. Life, DI, Annuities, Health, LTC, Medical and Dental. All products listed could be individual or group products

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-08-11

S66 Uniform Combined State Law Examination

2023-08-11

Designations

Chartered Financial Analyst

View on SEC IAPD