Best Investors
Account
Sign in
Best Investors
Account
Sign in
Principal Securities, Inc. CRD 1137
$17.0B regulatory AUM 1,717 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-07-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bellevue College | Bellevue | WA | 12/2017 | 10/2018 |
| Bellevue College | Bellevue | WA | 01/2016 | 11/2017 |
| Unemployed | Sammamish | WA | 11/2018 | 04/2019 |
| Nylife Securities, Llc | Bellevue | WA | 09/2019 | 01/2024 |
| New York Life Insurance | Bellevue | WA | 05/2019 | 01/2024 |
| Principal Life Insurance Company | Sammamish | WA | 01/2024 | Present |
| Principal Securities, Inc. | Sammamish | WA | 01/2024 | Present |
FIXED INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/16/2024 ADDRESS: 2113 221st Place NE, Sammamish WA 98074, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, and group benefits.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-24 |
Reach out to this advisor