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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2006-09-21
  • VA RA
    APPROVED
    Since 2006-09-21

Branch Locations

401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States

Charlottesville, VA • 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 Life Insurance Co Des Moines IA 08/2019 Present
Principal Securities Inc Des Moines IA 08/2006 Present
Principal Life Insurance Co Des Moines IA 08/2008 08/2019
  • 08/2019 → Present
    Principal Life Insurance Co
    Des Moines, IA
  • 08/2006 → Present
    Des Moines, IA
  • 08/2008 → 08/2019
    Principal Life Insurance Co
    Des Moines, IA
Previous Registrations
Other Businesses

**RENTAL PROPERTY. OWN A RENTAL PROPERTY JOINTLY WITH MY HUSBAND LOCATED AT 4778 BLUE JAY WAY IN CHARLOTTESVILLE, VA. A PROPERTY MANAGEMENT FIRM HANDLES ALL OF THE DAY-TO-DAY ACTIVITIES. EFFECTIVE DATE - 12/06/2013. **PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/29/2022 ADDRESS: 2355 E. Camelback Road, Suite 503, Phoenix AZ 85016, 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. **BRIARWOOD PHASE III HOME OWNERS ASSOCIATION POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 5045 Blenheim Road, Charlottesville VA 22902, United States DESCRIPTION: My roles and responsibilities as the Treasurer will be to reconcile the bank accounts, pay bills, co-signed check writing capabilities with no investment related discussions.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-01
S63 Uniform Securities Agent State Law Examination 1998-10-09
  • S65 Uniform Investment Adviser Law Examination
    2005-12-01
  • S63 Uniform Securities Agent State Law Examination
    1998-10-09
Other Names
  • Leslie A Mccarthy
  • Leslie Ann Tyler

View on SEC IAPD

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