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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2007-07-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Weston | FL | 11/2006 | Present |
| Principal Securities | Weston | FL | 12/2006 | Present |
**PRINCIPAL BANK AND PRINCIPAL COMPANY TRUST POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 3401 SW 160th Ave #400, Miramar FL 33027, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both insurance/broker dealer and nd bank/trust offerings of Principal. **THE RIDGES MAINTENANCE ASSOCIATION, INC. POSITION: Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2026 ADDRESS: 4250 Pond Ridge Circle, Fort Lauderdale FL 33331, United States DESCRIPTION: As a director of the board, my role consists of maintenance oversight, rule enforcement and community governance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-05 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-18 |
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