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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-08-22
  • CA RA
    APPROVED
    Since 2007-08-22

Branch Locations

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

Livermore, 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
OrganizationCityStateFromTo
Principal Securities Walnut Creek CA 03/2016 Present
Principal Life Insurance Walnut Creek CA 03/2016 Present
  • 03/2016 → Present
    Principal Securities
    Walnut Creek, CA
  • 03/2016 → Present
    Principal Life Insurance
    Walnut Creek, CA
Other Businesses

**PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/28/2022 ADDRESS: 711 High St., Des Moines IA 50392, United States DESCRIPTION: Formally designated a bank office in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank trust offerings of Principal. **ROOM TO GROW EXPLORERS POSITION: Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2024 ADDRESS: 1037 Lucille St, Livermore CA 94550, United States DESCRIPTION: I will initiate and participate on the board of directors for a nonprofit for public benefit organization. Support the cause by assisting with fundraising efforts and being an ambassador for the organization.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-21
S63 Uniform Securities Agent State Law Examination 2005-06-17
  • S66 Uniform Combined State Law Examination
    2007-08-21
  • S63 Uniform Securities Agent State Law Examination
    2005-06-17
Other Names
  • Norma Correa
  • Norma C Correa

View on SEC IAPD

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