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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2026-07-14
TX RA APPROVED_RES 2021-06-16
WI RA APPROVED 2015-06-10
  • GA RA
    APPROVED
    Since 2026-07-14
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • WI RA
    APPROVED
    Since 2015-06-10

Branch Locations

Pooler, GA • United States

10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226 • United States

Madison, WI • 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 Services Milwaukee WI 10/2010 12/2016
Synergy Advisory Group Neenah WI 06/2018 10/2019
Principal Securities Inc Wauwatosa WI 03/2016 Present
Principal Life Insurance Company Wauwatosa WI 07/2018 Present
  • 10/2010 → 12/2016
    Principal Life Insurance Services
    Milwaukee, WI
  • 06/2018 → 10/2019
    Synergy Advisory Group
    Neenah, WI
  • 03/2016 → Present
    Wauwatosa, WI
  • 07/2018 → Present
    Principal Life Insurance Company
    Wauwatosa, WI
Other Businesses

**FIVE STAR ENERGY CORP, VICE PRESIDENT OF MY SPOUSE'S COMPANY-PROCESS ACCOUNTS PAYABLE/RECEIVABLES, 11/24/14. **MARY KAY, SELLING MARY KAY PRODUCTS AS INDEPENDENT CONSULTANT, PERSONAL USE AND TO FRIENDS AND FAMILY, 7/27/15. **Fixed Insurance; Investment Related; 10200 W Innovation Dr, Ste 800, Milwaukee, WI 53226; Annuities, Life, DI, LTC, Health, Medicare, Group; Sales; Start Date: 05/17/2018; 2-3 hrs per month; 2-3 during trading hours. **WOMEN IN INSURANCE AND FINANCIAL SERVICES - WISCONSIN CHAPTER POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/03/2024 ADDRESS: 10361 W Innovation Dr, #300, Wauwatosa WI 53033, United States DESCRIPTION: Treasurer- serving on the board of the newly formed Wisconsin Chapter of Women in Insurance and Financial Services; unpaid board position; responsible for balancing checkbook, paying vendors for our meeting expenses in the future; no investment-related discussion. I will only have check writing duties as the 1st of 2 required signatures. Our President (also former treasurer) is also a financial advisor, so her firm also requires 2 signatures.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-05
  • S66 Uniform Combined State Law Examination
    2015-06-05
Other Names
  • Sandra Kay Raash
  • Sandy Bawolek

View on SEC IAPD

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