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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2011-05-26
  • MD RA
    APPROVED
    Since 2011-05-26

Branch Locations

6700 Rockledge Dr Bldg A Ste 350, Bethesda, MD 20817 • United States

Silver Spring, MD • 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 Insurance Company Bethesda MD 04/2011 Present
Principal Securities Inc Bethesda MD 05/2011 Present
Principal Bank And Trust Company Des Moines IA 02/2022 Present
  • 04/2011 → Present
    Principal Life Insurance Company
    Bethesda, MD
  • 05/2011 → Present
    Bethesda, MD
  • 02/2022 → Present
    Principal Bank And Trust Company
    Des Moines, IA
Previous Registrations
Other Businesses

**THE LUV SMITHS POSITION: Wedding Officiant NATURE: Wedding Officiant INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 8712 Colesville Road, Apt 205, Silver Spring MD 20910, United States DESCRIPTION: Will provide wedding officiant and pre-marital counseling services. Wedding Officiant and pre-marital counseling facilitator. **PRINCIPAL BANK AND TRUST COMPANY POSITION: Bank Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirementplan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-26
  • S66 Uniform Combined State Law Examination
    2005-11-26
Other Names
  • Craig D. Smith

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