Dale Arthur Roshek

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1998 → Present
  Principal Life Insurance Co
  Des Moines, IA
• 08/2004 → 11/2023
  Roshek Financial Services
  Des Moines, IA
• 03/2016 → Present
  Principal Securities Inc
  Des Moines, IA
• 11/2023 → Present
  Roshek Skinner Financial Services
  West Des Moines, IA

Other Businesses

*OUTSIDE INSURANCE; LIFE, DI, LTC, FIXED ANNUITIES; 10/13/14 ***Hickory Hills Lake Plat 1, Lot Association; Not Investment Related; Clive, IA; Vice-President; welcome new members, verify member is current when home is old, support the by-laws and covenants, keep members informed, watch over association; Start Date: 11/01/2019; 1 hrs per month; 0 during trading hours. STRUCTURED ATTORNEY FEES POSITION: Advisor NATURE: Structured Settlements INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2023 ADDRESS: 6701 Westown Pkwy, Ste 200, West Des Moines IA 50266, United States DESCRIPTION: This OBA is for helping attorneys structure their fees to defer taxes using SPIA & DIA products. We will be paid from the insurance companies. We will be split on the cases and we will not be paid via referral fees. Our primary duties will be assisting in the design and implementation of the products with no ongoing service. Any conversations with attorneys regarding this will be outside of securities conversations.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-10-26