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Adelaide Pund

Principal Securities, Inc.

Lajolla, CA

Des Moines, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-12-22
  • CA RA
    APPROVED
    Since 2022-12-22

Branch Locations

Lajolla, CA • United States

711 High St, Des Moines, IA 50392 • 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
First Allied Securities San Diego CA 05/2014 09/2022
Cetera Investment Advisers Llc Schaumburg IL 11/2020 12/2022
First Allied Advisory Services, Inc. San Diego CA 05/2014 11/2020
Cetera Advisors Llc San Diego CA 09/2022 12/2022
Principal Securities Inc Lajolla CA 12/2022 Present
Principal Life Insurance Company Lajolla CA 12/2022 Present
  • 05/2014 → 09/2022
    First Allied Securities
    San Diego, CA
  • 11/2020 → 12/2022
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 05/2014 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 09/2022 → 12/2022
    Cetera Advisors Llc
    San Diego, CA
  • 12/2022 → Present
    Principal Securities Inc
    Lajolla, CA
  • 12/2022 → Present
    Principal Life Insurance Company
    Lajolla, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-15
S63 Uniform Securities Agent State Law Examination 1990-07-30
  • S65 Uniform Investment Adviser Law Examination
    1997-07-15
  • S63 Uniform Securities Agent State Law Examination
    1990-07-30

View on SEC IAPD

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