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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-02-06
  • CA RA
    APPROVED
    Since 2024-02-06

Branch Locations

2998 Douglas Blvd Ste 330, Roseville, CA 95661 • United States

1010 W Alluvial Ave Ste 111, Fresno, CA 93711 • 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
Prudential Insurance Company Of America San Jose CA 01/2003 01/2024
Pruco Securities, Llc. San Jose CA 01/2003 01/2024
Principal Securities Inc Roseville CA 01/2024 Present
Principal Life Insurance Company Roseville CA 01/2024 Present
  • 01/2003 → 01/2024
    Prudential Insurance Company Of America
    San Jose, CA
  • 01/2003 → 01/2024
    San Jose, CA
  • 01/2024 → Present
    Roseville, CA
  • 01/2024 → Present
    Principal Life Insurance Company
    Roseville, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-09
S63 Uniform Securities Agent State Law Examination 1994-07-09
  • S66 Uniform Combined State Law Examination
    2003-04-09
  • S63 Uniform Securities Agent State Law Examination
    1994-07-09
Designations

View on SEC IAPD

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