Sudeep Mitra

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 05/2017
  Kent State University
  Kent, OH
• 08/2017 → 05/2018
  Aml Rightsource
  Hudson, OH
• 06/2018 → 12/2018
  Unemployed
  Cleveland Heights, OH
• 01/2019 → 04/2021
  Aml Rightsource
  Cleveland Heights, OH
• 05/2021 → 08/2021
  Unemployed
  Cleveland Heights, OH
• 08/2021 → 05/2023
  Pruco Securities, Llc.
  Columbus, OH
• 01/2022 → 05/2023
  Prudential Insurance Company Of America
  Columbus, OH
• 05/2023 → 10/2025
  Pnc Investments
  Parma, OH
• 10/2025 → Present
  Principle Life Insurance Company
  Lakewood, OH
• 10/2025 → Present
  Principal Securities, Inc.
  Lakewood, OH

Previous Registrations

• 2023-05-26 → 2025-12-10
  Pnc Wealth Management Llc
  Parma, OH
  Westlake, OH
  Middleburg Heights, OH
• 2022-02-02 → 2023-05-23
  Pruco Securities, Llc.
  Columbus, OH

Other Businesses

INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/08/2025 ADDRESS: 12610 ARLISS DR, LAKEWOOD OH 44107, United States DESCRIPTION: FIXED INSURANCE, ANNUITIES, LTC, DENTAL, HEALTH, DI, Non-medical group insurance.

Exams

• S66 Uniform Combined State Law Examination
  2021-12-22