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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-01-21
  • GA RA
    APPROVED
    Since 2025-01-21

Branch Locations

3625 Cumberland Blvd Se Ste 1000, Atlanta, GA 30339 • 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
New York Life Ins. Co Atlanta GA 11/2015 01/2025
Nylife Securities Llc Atlanta GA 12/2015 01/2025
Eagle Strategies Llc Alpharetta GA 01/2025 01/2025
Principal Life Insurance Company Atlanta GA 01/2025 Present
Principal Securities, Inc. Atlanta GA 01/2025 Present
  • 11/2015 → 01/2025
    New York Life Ins. Co
    Atlanta, GA
  • 12/2015 → 01/2025
    Nylife Securities Llc
    Atlanta, GA
  • 01/2025 → 01/2025
    Alpharetta, GA
  • 01/2025 → Present
    Principal Life Insurance Company
    Atlanta, GA
  • 01/2025 → Present
    Atlanta, GA
Previous Registrations
Other Businesses

INSURANCE POSITION: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2025 ADDRESS: 3625 Cumberland BLVD Se, Atlanta GA 30339, United States DESCRIPTION: Sales of Fixed Annuity, Life, DI &LTC through various carriers.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-31
S63 Uniform Securities Agent State Law Examination 2005-09-07
  • S65 Uniform Investment Adviser Law Examination
    2024-12-31
  • S63 Uniform Securities Agent State Law Examination
    2005-09-07
Other Names
  • Sean An

View on SEC IAPD

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