Spencer W Gardner

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

• 07/2018 → 08/2024
  Principal Life Insurance Company
  West Des Moines, IA
• 07/2018 → 08/2024
  Principal Securities Inc
  West Des Moines, IA
• 07/2017 → 07/2018
  The College Of St Scholastica
  Duluth, MN
• 07/2012 → 07/2017
  Gilbert Community School
  Gilbert, IA
• 08/2024 → 02/2025
  Ameriprise Financial Services, Llc
  West Des Moines, IA
• 02/2025 → Present
  Principal Securities, Inc.
  West Des Moines, IA
• 02/2025 → Present
  Principal Life Insurance Company
  West Des Moines, IA

Previous Registrations

• 2024-08-09 → 2025-02-18
  Ameriprise Financial Services, Llc
  Clive, IA
  West Des Moines, IA
• 2018-11-29 → 2024-08-15
  Principal Securities, Inc.
  West Des Moines, IA

Other Businesses

FIXED INSURANCE POSITION: Registered Rep NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 03/07/2025 ADDRESS: 6701 Westown Pkwy Ste 200, West Des Moines IA 50266, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long Term Care, Health, Medicare Supplements, Group Benefits.

Exams

• S66 Uniform Combined State Law Examination
  2018-11-28

Other Names

• Spencer W. Gardner
• Spencer Gardner