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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2023-07-20
  • IA RA
    APPROVED
    Since 2023-07-20

Branch Locations

4201 Westown Pkwy Ste 350, West Des Moines, IA 50266 • 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
Ankeny Lawn & Landscape Ankeny IA 05/2017 08/2019
Full Time Student Ames IA 08/2016 05/2020
Northwestern Mutual W Des Moines IA 05/2020 10/2020
Palmer Group/Pfg Des Moines IA 10/2020 12/2020
Hebert Financial W Des Moines IA 01/2021 07/2021
Oliver & Hebert Financial W Des Moines IA 07/2021 03/2023
Oliver Financial W Des Moines IA 03/2023 03/2023
Principal Securities, Inc. Des Moines IA 03/2023 Present
Principal Life Insurance Des Moines IA 08/2023 Present
  • 05/2017 → 08/2019
    Ankeny Lawn & Landscape
    Ankeny, IA
  • 08/2016 → 05/2020
    Full Time Student
    Ames, IA
  • 05/2020 → 10/2020
    Northwestern Mutual
    W Des Moines, IA
  • 10/2020 → 12/2020
    Palmer Group/Pfg
    Des Moines, IA
  • 01/2021 → 07/2021
    Hebert Financial
    W Des Moines, IA
  • 07/2021 → 03/2023
    Oliver & Hebert Financial
    W Des Moines, IA
  • 03/2023 → 03/2023
    Oliver Financial
    W Des Moines, IA
  • 03/2023 → Present
    Des Moines, IA
  • 08/2023 → Present
    Principal Life Insurance
    Des Moines, IA
Other Businesses

INSURANCE POSITION: Crump NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2023 ADDRESS: 4201 Westown Parkway Suit 350, West Des Moines IA 50266, United States DESCRIPTION: I am a Financial Professional. Selling products through Crump (PPN). Products selling below: Fixed Insurance: LI, DI, LTC, Annuities Group Insurance: DI, LI Variable Annuities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-02
  • S66 Uniform Combined State Law Examination
    2023-06-02
Other Names
  • James Michael Van Berkum
  • James Michael Vanberkum

View on SEC IAPD

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