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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-02-17
  • TX RA
    APPROVED
    Since 2016-02-17

Branch Locations

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

Austin, TX • 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 Company Austin TX 04/2004 Present
Principal Securities Inc Austin TX 08/2004 Present
  • 04/2004 → Present
    Principal Life Insurance Company
    Austin, TX
  • 08/2004 → Present
    Austin, TX
Previous Registrations
  • 2004-11-01 → 2016-02-17
    Austin, TX
    The Woodlands, TX
    Austin, TX
    The Woodlands, TX
    The Woodlands, TX
    Des Moines, IA
Other Businesses

**PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 1900 West Loop South, Suite 400, Houston TX 77027-3247, 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. **ROCKY CREEK MUNICIPAL UTILITY DISTRICT TRAVIS COUNTY POSITION: Board of Directors NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/10/2023 ADDRESS: 16018 Hamiton Pool Road, Austin TX 78738, United States DESCRIPTION: The District is governed by a Board of Directors (the "Board") consisting of five directors who either own property or are residents within the District. The Board has oversight responsibility for the financial and operational aspects of the District. Board members are elected to serve four-year staggered terms, with elections held every two years in May of even-numbered years.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-29
  • S66 Uniform Combined State Law Examination
    2004-10-29

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