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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2014-03-31
  • IA RA
    APPROVED
    Since 2014-03-31

Branch Locations

6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • 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
Ymca Of Greater Des Moines Des Moines IA 02/1995 Present
Principal Life Insurance Company West Des Moines IA 10/2013 Present
Principal Securities Inc West Des Moines IA 03/2016 Present
Smith + Co Financial Des Moines IA 06/2025 02/2026
  • 02/1995 → Present
    Ymca Of Greater Des Moines
    Des Moines, IA
  • 10/2013 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 03/2016 → Present
    West Des Moines, IA
  • 06/2025 → 02/2026
    Smith + Co Financial
    Des Moines, IA
Previous Registrations
Other Businesses

**YMCA OF GREATER DES MOINES, FITNESS INSTRUCTOR & TRAINER, 11/8/13. **NAIFA IA POSITION: Vice President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/03/2022 ADDRESS: 6701 Westown Parkway Ste 200, West Des Moines IA 50266, United States DESCRIPTION: I will be serving as a member of the board for the Iowa Chapter of the industry association, NAIFA. I will be starting officially January 2022. **JESSE J. SANCTUARY FOUNDATION POSITION: Managing Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 801 Grand Ave Suite 3700, Des Moines IA 50309, United States DESCRIPTION: I am helping a friend start a not-for-profit in honor of her daughter-in-law. It is the Jesse J. Sanctuary Foundation. Articles of Incorporation have just been filed with the state of Iowa this month and we are awaiting approval. It is a charitable 501(c)(3) organization. **FIXED INSURANCE POSITION: Financial Professional NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2025 ADDRESS: 6701 Westown Pkwy Ste 200, West Des Moines IA 50266, United States DESCRIPTION: I will be selling fixed insurance products from product sponsors outside of Principal including, LTC, health insurance, group benefits, fixed life, disability, fixed annuities, and Medicare supplements. **INSURANCE, FINANCIAL SERVICES OPERATIONS POSITION: Operations Associate NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/06/2026 ADDRESS: 6701 Westown Pkwy Ste 200, West Des Moines IA 50266, United States DESCRIPTION: I will be working with Curtis Diekevers and his team. I will be working as part of staff and doing service work related to the insurance and financial services business which will include processing applications, customer reviews, cash disbursements, opening accounts, and handing any services issues that come up. I will be receiving a salary for this activity.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-28
S65 Uniform Investment Adviser Law Examination 1998-04-27
S63 Uniform Securities Agent State Law Examination 1995-03-30
  • S66 Uniform Combined State Law Examination
    2014-03-28
  • S65 Uniform Investment Adviser Law Examination
    1998-04-27
  • S63 Uniform Securities Agent State Law Examination
    1995-03-30
Other Names
  • Ann Hudson

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