Carl Roger Hendrix

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 04/2020
  Standard
  Portland, OR
• 04/2020 → 12/2021
  Empower
  Greenwood Village, CO
• 12/2021 → Present
  Principal Life Insurance Company
  Strongsville, OH
• 01/2022 → Present
  Principal Securities Inc
  Strongsville, OH

Previous Registrations

• 2015-12-14 → 2020-04-10
  Stancorp Investment Advisers, Inc.
  Independence, OH
• 2005-06-02 → 2015-11-19
  Principal Securities, Inc.
  Cleveland, OH
  Des Moines, IA
  Cleveland, OH
  Cleveland, OH
  Cleveland, OH

Other Businesses

PRINCIPAL BANK & TRUST COMPANY POSITION: Bank/Trust Office NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/27/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal; retirement plan account relationship across both the insurance/broker-dealer and bank trust offerings of Principal.

Exams

• S66 Uniform Combined State Law Examination
  2005-06-01

Other Names

• Carl R Hendrix
• Carl Roger Hendrix
• Carl Roger Hendrix