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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-12-13
MD RA APPROVED 2005-05-24
  • TX RA
    APPROVED_RES
    Since 2022-12-13
  • MD RA
    APPROVED
    Since 2005-05-24

Branch Locations

6700 Rockledge Dr Bldg A Ste 350, Bethesda, MD 20817 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Company Bethesda MD 03/1995 Present
Principal Securities Inc Bethesda MD 06/1995 Present
  • 03/1995 → Present
    Principal Life Insurance Company
    Bethesda, MD
  • 06/1995 → Present
    Bethesda, MD
Other Businesses

***Rental Property, Owner, 08/14/17. ***Term Nation LLC; Not Investment Related; 7305 Honeywell Ln, Bethesda, MD 20814; 1/4 Owner; LLC established to hold Maryland Basketball season tickets and make charitable donations to the university yearly. Owns with spouse, brother, and sister-in-law.; Start Date: 04/26/2018; 0 hrs per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-23
S63 Uniform Securities Agent State Law Examination 1995-07-11
  • S66 Uniform Combined State Law Examination
    2005-05-23
  • S63 Uniform Securities Agent State Law Examination
    1995-07-11

View on SEC IAPD

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