Kim M Hall

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-30

NY RA
APPROVED

Since 2021-06-30

Branch Locations

Amherst, NY • 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

Organization	City	State	From	To
Principal Life Insurance Company	Amherst	NY	01/1991	Present
Principal Securities Inc	Amherst	NY	02/1992	Present

01/1991 → Present

Principal Life Insurance Company

Amherst, NY
02/1992 → Present

Principal Securities Inc

Amherst, NY

Other Businesses

PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank Officer / Trust 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: 100 Lennox Ave, Amherst NY 14226, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-03-12

S63 Uniform Securities Agent State Law Examination

1992-03-12

Other Names

Kim M Murphy

View on SEC IAPD