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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2007-08-22 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Livermore, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities | Walnut Creek | CA | 03/2016 | Present |
| Principal Life Insurance | Walnut Creek | CA | 03/2016 | Present |
**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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-17 |
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