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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-08 |
| CA | RA | APPROVED | 2005-01-25 |
Branch Locations
222 S 9Th St Ste 1400, Minneapolis, MN 55402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Santa Clarita | CA | 06/2002 | Present |
| Principal Securities, Inc. | Santa Clarita | CA | 08/2002 | Present |
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 575 Anton Blvd. Suite 910, Costa Mesa CA 92626, 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-12 |
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