Best Investors Account Sign in

Westin James Kaser

Principal Securities, Inc.

Des Moines, IA

Hendersonville, TN

Claim This Profile
Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-08-14
TX RA APPROVED_RES 2025-08-14
  • TN RA
    APPROVED
    Since 2025-08-14
  • TX RA
    APPROVED_RES
    Since 2025-08-14

Branch Locations

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

Hendersonville, TN • 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
Cuna Brokerage Services, Inc. Waverly IA 02/2021 06/2022
Ascend Fcu Mt Juliet TN 06/2020 06/2022
Nolan Transportation Group Nashville TN 01/2020 05/2020
Eastman Credit Union Johnson City TN 05/2017 01/2020
Raffaele's Italian Restaurant Kingsport TN 11/2013 05/2017
Ubereats San Francisco CA 11/2021 06/2022
Lpl Financial Llc Mt. Juliet TN 05/2022 06/2022
Principal Life Insurance Company Hendersonville TN 06/2022 Present
Principal Securities, Inc. Hendersonville TN 07/2022 Present
Principal Advised Services Hendersonville TN 10/2022 Present
  • 02/2021 → 06/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 06/2020 → 06/2022
    Ascend Fcu
    Mt Juliet, TN
  • 01/2020 → 05/2020
    Nolan Transportation Group
    Nashville, TN
  • 05/2017 → 01/2020
    Eastman Credit Union
    Johnson City, TN
  • 11/2013 → 05/2017
    Raffaele's Italian Restaurant
    Kingsport, TN
  • 11/2021 → 06/2022
    Ubereats
    San Francisco, CA
  • 05/2022 → 06/2022
    Lpl Financial Llc
    Mt. Juliet, TN
  • 06/2022 → Present
    Principal Life Insurance Company
    Hendersonville, TN
  • 07/2022 → Present
    Principal Securities, Inc.
    Hendersonville, TN
  • 10/2022 → Present
    Principal Advised Services
    Hendersonville, TN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-10
  • S66 Uniform Combined State Law Examination
    2021-05-10
Other Names
  • Westin Kaser

View on SEC IAPD

Other Firms

OSAIC INSTITUTIONS, INC.
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
EDWARD JONES
WEST FINANCIAL ADVISORS, L.L.C.
AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers
ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

More in Des Moines, IA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor