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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2024-08-13 |
| IA | RA | APPROVED | 2024-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Saint Paul | NE | 05/2013 | Present |
| Principal Securities, Inc. | Saint Paul | NE | 03/2016 | Present |
| Principal Advised Services | Saint Paul | NE | 04/2024 | Present |
**MARY KAY, SALES, 12/10/13. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/23/2024 ADDRESS: 711 High St., Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-08 |
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