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Alexander Rabinovich

Principal Securities, Inc.

Wantagh, NY

CRD 2231627

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-30
  • NY RA
    APPROVED
    Since 2021-06-30

Branch Locations

Wantagh, NY • 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 Securities Inc Wantagh NY 03/1992 Present
Principal Life Insurance Company Wantagh NY 07/1998 Present
  • 03/1992 → Present
    Principal Securities Inc
    Wantagh, NY
  • 07/1998 → Present
    Principal Life Insurance Company
    Wantagh, NY
Other Businesses

OUTSIDE INSURANCE, SELL HEALTH INSURANCE FOR EXISTING CLIENTS, 4/1/10.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-07-02
  • S63 Uniform Securities Agent State Law Examination
    1992-07-02

View on SEC IAPD

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