Sal Peter Tabuena

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-17
IL	RA	APPROVED	2001-08-13

TX RA
APPROVED_RES

Since 2021-06-17
IL RA
APPROVED

Since 2001-08-13

Branch Locations

Hinsdale, IL • United States

3333 Finley Rd Ste 500, Downers Grove, IL 60515 • United States

Disclosures

1 disclosure category 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Securities Inc	Hinsdale	IL	07/1994	Present
Principal Life Ins Company	Hinsdale	IL	07/1998	Present

07/1994 → Present

Principal Securities Inc

Hinsdale, IL
07/1998 → Present

Principal Life Ins Company

Hinsdale, IL

Other Businesses

**OUTSIDE INSURANCE, BROKERS GROUP, INDIVIDUAL HEALTH INSURANCE VIA OUTSIDE CARRIERS, 6/3/11. **PRINCIPAL CONSULTING GROUP LLC POSITION: Director NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 12/13/2024 ADDRESS: 521 Columbia Avenue, Hinsdale IL 60521, United States DESCRIPTION: OBA for the sake of filing as an S-Corp. Pass through.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-02-16
S63	Uniform Securities Agent State Law Examination	1995-02-07

S65 Uniform Investment Adviser Law Examination

2001-02-16
S63 Uniform Securities Agent State Law Examination

1995-02-07

View on SEC IAPD