Matthew Mark Woller

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
WI	RA	APPROVED	2002-07-03

WI RA
APPROVED

Since 2002-07-03

Branch Locations

Gresham, WI • United States

711 High St, Des Moines, IA 50392 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Securities Inc	Gresham	WI	10/2001	Present
Principal Life Insurance Company	Gresham	WI	10/2001	Present

10/2001 → Present

Principal Securities Inc

Gresham, WI
10/2001 → Present

Principal Life Insurance Company

Gresham, WI

Other Businesses

SUGAR SHACK HUNT CLUB, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: W13098 ROOSEVELT RD, Bowler WI 54128-9411, United States DESCRIPTION: Purchase of vacant/hunting land.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-02-14
S63	Uniform Securities Agent State Law Examination	1995-03-29

S65 Uniform Investment Adviser Law Examination

2002-02-14
S63 Uniform Securities Agent State Law Examination

1995-03-29

Other Names

Matthew Woller
Matt Woller

View on SEC IAPD