Stephen Craig Mercer

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2004-12-06

TX RA
APPROVED

Since 2004-12-06

Branch Locations

Tyler, TX • United States

5080 Spectrum Dr Ste 1200E, Addison, TX 75001 • 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 Life Insurance Company	Addison	TX	05/2003	Present
Principal Securities, Inc.	Addison	TX	06/2003	Present

05/2003 → Present

Principal Life Insurance Company

Addison, TX
06/2003 → Present

Principal Securities, Inc.

Addison, TX

Previous Registrations

1999-02-10 → 2003-02-10

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tyler, TX

Other Businesses

***Outside Insurance, Fixed Annuities, Fixed Life, LTC, Group, Health, DI, 07/20/17.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-01-11

S66 Uniform Combined State Law Examination

1999-01-11

Other Names

Stephen Craig Mercer
Craig Mercer
Stephen C Mercer
S Craig Mercer
S Craig Mercer

View on SEC IAPD