Mario Anthony Rector

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-18

NY RA
APPROVED

Since 2021-10-18

Branch Locations

6611 Manlius Center Rd, East Syracuse, NY 13057 • United States

7900 Davis Rd N Ste 2, Clay, NY 13041 • United States

214 W 1St St, Oswego, NY 13126 • 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

Organization	City	State	From	To
Principal Life Insurance Company	Clay	NY	05/2021	Present
Principal Securities Inc	Clay	NY	05/2021	Present
Cox Communication	Atlanta	GA	01/2021	05/2021
Atrium	Atlanta	GA	08/2020	01/2021
Moxi Platform	Syracuse	NY	08/2019	06/2020
Cox Automotive	Atlanta	GA	05/2005	06/2019
Union Financial, Inc.	Clay	NY	10/2021	04/2022
Legacy Financial Group And Associates	Clay	NY	01/2023	Present

05/2021 → Present

Principal Life Insurance Company

Clay, NY
05/2021 → Present

Principal Securities Inc

Clay, NY
01/2021 → 05/2021

Cox Communication

Atlanta, GA
08/2020 → 01/2021

Atrium

Atlanta, GA
08/2019 → 06/2020

Moxi Platform

Syracuse, NY
05/2005 → 06/2019

Cox Automotive

Atlanta, GA
10/2021 → 04/2022

Union Financial, Inc.

Clay, NY
01/2023 → Present

Legacy Financial Group And Associates

Clay, NY

Other Businesses

INSURANCE POSITION: Outside Fixed Insurance Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/29/2021 ADDRESS: 7900 Davis Road North Suite 2, Clay NY 13041, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medicaid Insurance through various carriers ***Cicero Rental Properties LLC; Not Investment Related; 6271 Muskrat Bay Rd, Brewerton, NY 13029; Owner of LLC; LLC owns rental units; Start Date: 10/05/2022; 2 hrs per month; 2 during trading hours. ***Phoenix Rental Properties, LLC; Not Investment Related; 6271 Muskrat Rd, Brewerton, NY 13029; Owner of LLC; LLC owns rental properties; Start Date: 10/06/2022; 2 hrs per month; 2 during trading hours. ***Lamplighter Apartments LLC; Not Investment Related; 6271 Muskrat Rd, Brewerton, NY 13029; Owner of LLC; LLC owns rental property; Start Date: 10/06/2022; 2 hrs per month; 2 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-10-02

S66 Uniform Combined State Law Examination

2021-10-02