Howard Robert Gorbach

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → Present
  Principal Life Insurance Company
  Cotati, CA
• 01/2015 → Present
  Principal Securities, Inc.
  Cotati, CA
• 07/2002 → Present
  H.R. Gorbach Financial Services, Inc.
  Sonoma, CA

Previous Registrations

• 2001-10-23 → 2015-01-15
  Osaic Fs, Inc.
  Sonoma, CA
  Sonoma, CA
• 2003-02-21 → 2006-07-07
  Independent Advisers Group Corp
  Sonoma, CA

Other Businesses

OUTSIDE INSURANCE, SALES AND SERVICE OF FIXED LIFE INSURANCE, FIXED ANNUITIES, LONG TERM CARE INSURANCE, DISABILITY INCOME INSURANCE, HEALTH INSURANCE AND MEDICARE SUPPLEMENT/ADVANTAGE THROUGH VARIOUS CARRIERS, 6/16/15.*8GROUP BENEFITS, SALES AND SERVICE OF GROUP HEALTH, DENTAL, SHORT TERM DISABILITY AND LONG TERM DISABILITY THROUGH VARIOUS CARRIERS, 6/23/15.

Exams

• S66 Uniform Combined State Law Examination
  2001-10-02
• S63 Uniform Securities Agent State Law Examination
  1992-08-28