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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 2021-06-17
VA RA APPROVED 2011-03-31
  • TX RA
    APPROVED_RES
    Since 2021-06-17
  • VA RA
    APPROVED
    Since 2011-03-31

Branch Locations

201 Wylderose Commons Ste 100, Midlothian, VA 23113 • 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 Purchase NY 09/2005 01/2017
Principal Life Insurance Company Midlothian VA 01/2017 Present
Ironworks Financial Midlothian VA 09/2018 Present
Principal Securities Inc Midlothian VA 03/2016 Present
  • 09/2005 → 01/2017
    Principal Life Insurance Company
    Purchase, NY
  • 01/2017 → Present
    Principal Life Insurance Company
    Midlothian, VA
  • 09/2018 → Present
    Ironworks Financial
    Midlothian, VA
  • 03/2016 → Present
    Midlothian, VA
Previous Registrations
Other Businesses

***Fixed Insurance, Life, Annuities, LTC, Health Ancillary, 05/09/17. ***Gingersnap Ventures, LLC; Not Investment Related; Midlothian, VA; Co-owner; Real estate holding company established to hold personally owned commercial property. Co-owner with spouse.; Start Date: 03/01/2020; 2 hrs per month; 0 during trading hours. ***Ironworks Financial LLC; Investment Related; Midlothian, VA; Owner; LLC for DBA for PSI related business; Start Date: 12/26/2018; 175 hrs per month; 175 during trading hours. DISABILITY INSURANCE POSITION: Ironworks Financial NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 11/14/2022 ADDRESS: Ironworks Financial, 311 N. Main St, Farmville VA 23901, United States DESCRIPTION: Individual disability insurance policies with current and/or prospective clients. INSURANCE POSITION: Ironworks Financial NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 11/14/2022 ADDRESS: Ironworks Financial, 311 N. Main St, Farmville VA 23901, United States DESCRIPTION: Offering Employee Benefits/Benefits Manager platform. Working with small & medium size businesses to offer individual and group policies to include medical, dental, vision, short-term disability, long term disability, wellness and retirement benefits.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-23
  • S66 Uniform Combined State Law Examination
    2005-05-23
Other Names
  • John Dennis

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