John Jay Pettit

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
WA	RA	APPROVED	2013-02-21

WA RA
APPROVED

Since 2013-02-21

Branch Locations

Puyallup, WA • 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 Ins Co	Seattle	WA	02/2013	01/2021
Union Financial Inc	Puyallup	WA	05/2015	Present
Principal Securities Inc	Puyallup	WA	03/2016	Present

02/2013 → 01/2021

Principal Life Ins Co

Seattle, WA
05/2015 → Present

Union Financial Inc

Puyallup, WA
03/2016 → Present

Principal Securities Inc

Puyallup, WA

Previous Registrations

2007-02-28 → 2013-02-13

Hornor, Townsend & Kent, Llc

Puyallup, WA

Puyallup, WA

Bellevue, WA

Other Businesses

**Rental Property; Not Investment Related; Puyallup, WA; Rental Property; Renting out duplex; Start Date: 08/06/2013; 2 hrs per month; 0 during trading hours. **INSURANCE POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 2 START DATE: 11/18/2013 ADDRESS: 5901 68th Ave E, Puyallup WA 98371, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, P&C, health, and group benefits.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-26

S66 Uniform Combined State Law Examination

2007-02-26

View on SEC IAPD