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Michael John Simmons

Principal Securities, Inc.

Des Moines, IA

Murray, UT

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-15
UT RA APPROVED 2021-10-12
  • TX RA
    APPROVED_RES
    Since 2026-01-15
  • UT RA
    APPROVED
    Since 2021-10-12

Branch Locations

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

Murray, UT • 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
Transamerica Retirement Solutions N. Salt Lake UT 09/2013 04/2019
Transamerica Investors Securities Corporation N. Salt Lake UT 10/2013 04/2019
Massmutual Springfield MA 04/2019 12/2020
Mml Distributors, Llc Murray UT 04/2019 12/2020
Mutual Of Omaha Murray UT 01/2021 07/2021
Principal Life Insurance Company Murray UT 07/2021 Present
Principal Securities Inc Murray UT 08/2021 Present
  • 09/2013 → 04/2019
    Transamerica Retirement Solutions
    N. Salt Lake, UT
  • 10/2013 → 04/2019
    Transamerica Investors Securities Corporation
    N. Salt Lake, UT
  • 04/2019 → 12/2020
    Massmutual
    Springfield, MA
  • 04/2019 → 12/2020
    Mml Distributors, Llc
    Murray, UT
  • 01/2021 → 07/2021
    Mutual Of Omaha
    Murray, UT
  • 07/2021 → Present
    Principal Life Insurance Company
    Murray, UT
  • 08/2021 → Present
    Principal Securities Inc
    Murray, UT
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-08-26
S63 Uniform Securities Agent State Law Examination 2013-11-14
  • S65 Uniform Investment Adviser Law Examination
    2014-08-26
  • S63 Uniform Securities Agent State Law Examination
    2013-11-14
Other Names
  • Mick Simmons
  • Michael J Simmons

View on SEC IAPD

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EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
EDWARD JONES
WEST FINANCIAL ADVISORS, L.L.C.
AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers
ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

More in Des Moines, IA

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