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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2024-06-11
  • NE RA
    APPROVED
    Since 2024-06-11

Branch Locations

11205 Wright Cir Ste 130, Omaha, NE 68144 • 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
Questar Capital Corporation Minneapolis MN 09/2014 12/2018
Questar Asset Management Minneapolis MN 10/2014 12/2018
Cetera Advisors Llc Denver CO 12/2018 06/2024
Bridge Financial Omaha NE 10/2014 06/2024
Concentrix Cvg Customer Management Group Inc. Fremont CA 09/2022 12/2022
Humbi Roots Council Bluffs IA 03/2024 06/2024
Cetera Investment Advisers Llc Schaumburg IL 03/2024 06/2024
Principal Life Insurance Co Omaha NE 06/2024 Present
Principal Securities Omaha NE 06/2024 Present
Bridge Financial Omaha NE 06/2024 Present
  • 09/2014 → 12/2018
    Questar Capital Corporation
    Minneapolis, MN
  • 10/2014 → 12/2018
    Questar Asset Management
    Minneapolis, MN
  • 12/2018 → 06/2024
    Cetera Advisors Llc
    Denver, CO
  • 10/2014 → 06/2024
    Bridge Financial
    Omaha, NE
  • 09/2022 → 12/2022
    Concentrix Cvg Customer Management Group Inc.
    Fremont, CA
  • 03/2024 → 06/2024
    Humbi Roots
    Council Bluffs, IA
  • 03/2024 → 06/2024
    Schaumburg, IL
  • 06/2024 → Present
    Principal Life Insurance Co
    Omaha, NE
  • 06/2024 → Present
    Principal Securities
    Omaha, NE
  • 06/2024 → Present
    Bridge Financial
    Omaha, NE
Previous Registrations
  • 2024-03-21 → 2024-06-07
    Omaha, NE
  • 2018-12-20 → 2024-03-21
    Cetera Advisors Llc
    Omaha, NE
  • 2014-10-27 → 2018-12-18
    Questar Asset Management, Inc.
    Minneapolis, MN
    Omaha, NE
  • 2011-07-18 → 2014-10-24
    Osaic Services, Inc.
    Omaha, NE
  • 2000-06-07 → 2011-07-08
    Spectrum Capital, Llc
    Omaha, NE
    Omaha, NE
Other Businesses

**FIXED INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/16/2024 ADDRESS: 11205 Wright Circle, Suite 130, Omaha NE 68144, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long-Term Care, Health, Medicare Supplements, Group Benefits. **HUMBL ROOTS POSITION: Kitchen Staff NATURE: Kitchen staff for Pasta Sauce Company INVESTMENT RELATED: No NUMBER OF HOURS: 36 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 1001 S 6th St., Council Bluffs IA 51503, United States DESCRIPTION: Kitchen staff, produce carrot-based pasta sauce in a commercial kitchen. This is non-investment related. **CONNECT OMAHA NETWORKING GROUP POSITION: Secretary NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 01/01/2026 ADDRESS: 1228 Park Wild Ave, Omaha NE 68108, United States DESCRIPTION: I have been elected to the Secretary position for this networking group. My duties include keeping attendance records each meeting and reminding members when they fall short of our 60% attendance requirement. There are no dues and I have no duties involving the handling of money or securities. It is not investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-10-01
  • S63 Uniform Securities Agent State Law Examination
    1996-10-01
Other Names
  • Tami Lee Ruth

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