Dominic Frank Pellicano

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-07-22
NY	RA	APPROVED	2021-06-30

TX RA
APPROVED_RES

Since 2021-07-22
NY RA
APPROVED

Since 2021-06-30

Branch Locations

100 Corporate Pkwy Ste 118, Amherst, NY 14226 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Amherst	NY	07/1998	Present
Wealth Management Services Llc	Amherst	NY	05/2014	Present
Principal Securities Inc	Amherst	NY	03/2016	Present

07/1998 → Present

Principal Life Insurance Company

Amherst, NY
05/2014 → Present

Wealth Management Services Llc

Amherst, NY
03/2016 → Present

Principal Securities Inc

Amherst, NY

Other Businesses

**WEALTH MANAGEMENT SERVICES, LLC, 05/2010, CORPORATION ESTABLISHED TO HIRE EMPLOYEES AND PROVIDE BENEFITs. **FIXED INSURANCE, LIFE, ANNUITIES, DI, 6/11/15. **Fixed Insurance; Investment Related; Amherst, NY; Agent; Group Benefits Health Insurance; Start Date: 05/17/2019; 5 hrs per month; 5 during trading hours. **BUFFALO LAUNCH CLUB POSITION: Board of Directors NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 503 East River Road, Grand Island NY 14072, United States DESCRIPTION: Monthly meeting to review all finances and operations.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-02-19

S63 Uniform Securities Agent State Law Examination

1993-02-19

Other Names

Dominic Frank Pellicano

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