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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2024-01-05 |
| IA | RA | APPROVED | 2023-12-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Grand Island | NE | 01/2005 | Present |
| Principal Securities Inc | Grand Island | NE | 03/2016 | Present |
| Principal Advised Services | Grand Island | NE | 10/2023 | Present |
**GRAND ISLAND PUBLIC SCHOOLS POSITION: Substitute custodian NATURE: Part time substitute custodian INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2023 ADDRESS: Grand Island Public Schools Admin, 123 Webb Rd, Grand Island NE 68803, United States DESCRIPTION: Substitute custodial worker for the Grand Island Public Schools. I will be notified if help is needed and will work as my schedule allows. This will always be after business hours. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 711 High St., Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/18/2018 ADDRESS: 711 High St., Des Moines IA 50392, United States DESCRIPTION: https://www.principal.com/individuals/invest-retire/principal-bank
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-26 |
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