Michael Lee Affleck

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2003 → Present
  Tetra Group, Ltd
  Carlsbad, CA
• 03/2016 → Present
  Principal Securities Inc
  Carlsbad, CA
• 08/2018 → Present
  Principal Life Insurance Company
  Carlsbad, CA
• 12/2019 → Present
  6Pillars Financial Services
  Carlsbad, CA

Previous Registrations

• 2000-08-30 → 2003-01-29
  Equitable Advisors, Llc
  Austin, TX

Other Businesses

P&C, SELLS P&C INSURANCE, DIFFERENT LINES, 8/25/11. ***MHA Holdings, LLC dba Tetra Group, Ltd.; Not Investment Related; 2100 Rachel Ridge, Cedar Park, TX 78613; Owner; LLC that holds DBA Tetra Group, Ltd. 100% Owner. Established for tax purposes and group/property insurance.; Start Date: 01/01/2010; 80 hrs per month; 80 during trading hours. ***Group Benefits; Investment Related; 2100 Rachel Ridge, Cedar Park, TX 78613; Broker; Group Health, Life, Dental, Vision, LTD, STD; Start Date: 01/01/2015; 80 hrs per month; 80 during trading hours. ***Fixed Insurance; Investment Related; Cedar Park, TX; Agent; Life, Annuities, DI, LTC, Health, Medical; Start Date: 05/12/1998; 80 hrs per month; 80 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-28
• S63 Uniform Securities Agent State Law Examination
  1998-06-18