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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2013-06-26
  • VA RA
    APPROVED
    Since 2013-06-26

Branch Locations

Locust Grove, VA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Ins Co Mclean VA 06/2013 Present
Principal Securities Mclean VA 06/2013 Present
Your Retirement Pathfinder Mclean VA 11/2013 Present
  • 06/2013 → Present
    Principal Life Ins Co
    Mclean, VA
  • 06/2013 → Present
    Principal Securities
    Mclean, VA
  • 11/2013 → Present
    Your Retirement Pathfinder
    Mclean, VA
Previous Registrations
Other Businesses

**OUTSIDE INSURANCE; GROUP BENEFITS, HEALTH, DI, LTC, LIFE, FIXED ANNUITIES, PREPAID LEGAL INSURANCE, 2/6/15. **LAKE OF THE WOODS CHURCH POSITION: Elder NATURE: Elder & Bible teacher at my church INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 11/14/2024 ADDRESS: Church Street, Locust Grove VA 22508, United States DESCRIPTION: Our church has 10 elders who oversee the activities of the church. There are also full-time ministers and staff who are responsible for church operations. I am the elder responsible for overseeing our local ministry activities like - a homeless shelter, mechanics ministry, home repair helps, a program for special needs adults, special programs to provide food for the holidays, etc. My role is to provide counsel to the individuals actually conducting these ministries and to approve their requests for reimbursing expenses. I do not have authority to write any checks or to manage any of the funds of the church. I also co-teach a Sunday Bible Study class for adults.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-17
S63 Uniform Securities Agent State Law Examination 2005-07-08
  • S65 Uniform Investment Adviser Law Examination
    2006-05-17
  • S63 Uniform Securities Agent State Law Examination
    2005-07-08
Other Names
  • William Robert Frazer

View on SEC IAPD

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