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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-12-20
  • MN RA
    APPROVED
    Since 2024-12-20

Branch Locations

8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Aig Sunamerica Woodland Hills CA 03/2010 01/2017
Aig Capital Services Inc. Woodkand Hills CA 03/2010 01/2017
Green Guardian Wealth Managment Lake Elmo MN 11/2025 Present
Sagepoint Financial, Inc. Forest Lake MN 01/2017 11/2024
Osaic Wealth, Inc. Forest Lake MN 09/2023 11/2024
Principal Life Insurance Co St Paul MN 11/2024 Present
Principal Securities Inc St Paul MN 11/2024 Present
  • 03/2010 → 01/2017
    Aig Sunamerica
    Woodland Hills, CA
  • 03/2010 → 01/2017
    Aig Capital Services Inc.
    Woodkand Hills, CA
  • 11/2025 → Present
    Green Guardian Wealth Managment
    Lake Elmo, MN
  • 01/2017 → 11/2024
    Sagepoint Financial, Inc.
    Forest Lake, MN
  • 09/2023 → 11/2024
    Forest Lake, MN
  • 11/2024 → Present
    Principal Life Insurance Co
    St Paul, MN
  • 11/2024 → Present
    St Paul, MN
Previous Registrations
  • 2023-09-01 → 2023-12-07
    Forest Lake, MN
  • 2017-01-25 → 2023-09-01
    Osaic Services, Inc.
    Oakdale, MN
    Forest Lake, MN
    White Bear Lake, MN
    Forest Lake, MN
  • 2009-06-26 → 2010-03-11
    Edina, MN
    Mahtomedi, MN
    Houston, TX
Other Businesses

**FIXED INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 2 START DATE: 01/16/2025 ADDRESS: 8530 Eagle Point Blvd, #125, Lake Elmo MN 55042, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **GREEN GUARDIAN WEALTH MANAGMENT (DBA) POSITION: Registered Representative NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 11/14/2025 ADDRESS: 8530 Eagle Point Blvd, #125, Lake Elmo MN 55042, United States DESCRIPTION: All business and branding done under this DBA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-24
S63 Uniform Securities Agent State Law Examination 1994-02-24
  • S66 Uniform Combined State Law Examination
    2009-06-24
  • S63 Uniform Securities Agent State Law Examination
    1994-02-24
Designations
Other Names
  • Troy Malon Axelson
  • Troy Axelson

View on SEC IAPD

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