Thomas James Kleffman

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-12-11
CA	RA	APPROVED	2021-07-22

TX RA
APPROVED

Since 2024-12-11
CA RA
APPROVED

Since 2021-07-22

Branch Locations

Truckee, CA • 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	Truckee	CA	06/2021	Present
Principal Securities Inc	Truckee	CA	06/2021	Present
Unemployed	Truckee	CA	02/2021	06/2021
Mark Tanner Construction	Truckee	CA	04/2019	02/2021
Ttusd	Truckee	CA	06/2015	04/2019

06/2021 → Present

Principal Life Insurance Company

Truckee, CA
06/2021 → Present

Principal Securities Inc

Truckee, CA
02/2021 → 06/2021

Unemployed

Truckee, CA
04/2019 → 02/2021

Mark Tanner Construction

Truckee, CA
06/2015 → 04/2019

Ttusd

Truckee, CA

Other Businesses

**Fixed Insurance; Investment Related; Truckee, CA; Agent; Life, DI, Annuity, LTC, Supplemental, Group Benefits; Start Date: 08/12/2021; 10 hrs per month; 10 during trading hours. **CONTRACTORS ASSOCIATION OF TRUCKEE TAHOE COMMUNITY PROJECT POSITION: Board of Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 12313 Soaring Way, Suite 1A, Truckee CA 96161, United States DESCRIPTION: Nominated by the Executive Director of CATT Ed Vento to volunteer on the board of directors of the CATT Community Project. My role would be to meet once a month to review applications for local projects that the organization would agree to help provide design and construction assistance to other non-profits and governmental agencies as a way of "giving back" to the community. **TRUCKEE RIVER UNITED FUTBOL CLUB POSITION: Coach NATURE: TRUFC Soccer Coach INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2024 ADDRESS: 11327 Huntsman Leap, Truckee CA 96161, United States DESCRIPTION: I will be coaching kids soccer team three to four times a week including games and practices.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-07-21

S66 Uniform Combined State Law Examination

2021-07-21

Other Names

Tom Kleffman

View on SEC IAPD