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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-16 |
| CA | RA | APPROVED | 2004-12-15 |
Branch Locations
9245 Laguna Springs Dr Ste 100, Elk Grove, CA 95758 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Elk Grove | CA | 07/1992 | Present |
| Principal Life Insurance Co. | Elk Grove | CA | 07/1998 | Present |
***MEXICAN CULTURAL CENTER OF NORTHERN CA. 04/2010-PRESENT. MEMBER OF BOARD, PRESIDENT. NOT INVESTMENT RELATED. ***Outside Insurance; Investment Related; ; Agent; Selling outside Life & group health insurance; Start Date: ; 4 hrs per month; during trading hours. ***CIEN AMIGOS, BOARD MEMBER, 12/23/14. ***University Enterprise Inc; Not Investment Related; Elk Grove, CA; Board Member; Board member community member, voting board member, no check writing capability or handling of funds; Start Date: 09/30/2019; 1 hrs per month; 0 during trading hours. INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/28/2021 ADDRESS: 9245 Laguna Springs Dr., Ste. 100, Elk Grove CA 95758, United States DESCRIPTION: Selling outside Life, group health insurance, LTC, Annuities, Disability & Supplemental products PRIDE INDUSTRIES INC. POSITION: Board Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/27/2022 ADDRESS: 10030 Foothills Blvd, Roseville CA 95747, United States DESCRIPTION: Participate in board of director meetings. 4 meeting a year 1 of 15 board members - Board Member at Large, voting member on business issues related to the organization UNIVERSITY ENTERPRISE INC POSITION: Secretary/Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/12/2022 ADDRESS: 6000 J St, Sacramento CA 95819, United States DESCRIPTION: Secretary/Treasurer community member, voting board member, no check writing capability or handling of funds. Part of Executive Board, will attend 8 board meetings a year and present minutes to prior board meetings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-22 |
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