Joseph Arthur Lloyd

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

• 02/2012 → 04/2020
  National Securities Corp
  Uniondale, NY
• 03/2012 → 04/2020
  National Asset Management
  Uniondale, NY
• 04/2020 → Present
  Principal Life Insurance Company
  Raleigh, NC
• 04/2020 → Present
  Principal Securities Inc
  Raleigh, NC

Previous Registrations

• 2012-03-23 → 2020-05-18
  B. Riley Wealth Advisors, Inc.
  Mineola, NY
  Westbury, NY
• 2010-01-06 → 2012-02-29
  Paulson Investment Company Llc
  New York, NY
  Hauppauge, NY
• 2008-12-22 → 2010-01-13
  Gunnallen Financial, Inc
  Hauppauge, NY
• 2007-02-22 → 2008-12-12
  Consolidated Portfolio Review Corp
  Woodbury, NY
• 2003-08-15 → 2007-02-20
  Wells Fargo Clearing Services, Llc
  Norwalk, CT
  Norwalk, CT

Other Businesses

***Joseph Lloyd Inc.; Not Investment Related; Raleigh, NC; Owner; Entity exists solely for expense tracking and tax purposes.; Start Date: 03/01/2008; 10 hrs per month; 10 during trading hours.***Fixed Insurance; Investment Related; Raleigh, NC; Agent; Life, Annuities, DI, LTC, Group, Health; Start Date: 06/05/2020; 10 hrs per month; 10 during trading hours. DUNBARTON POINTE HOA POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 7500 Cadbury Ct, Apt 101, Raleigh NC 27612, United States DESCRIPTION: I am serving as a board member of my condominium's homeowner association. I do not have access to any funds nor are the HOA's investments part of the scope of my involvement. This role is volunteer only.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-08-05
• S63 Uniform Securities Agent State Law Examination
  1998-10-16