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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2014-07-14
  • GA RA
    APPROVED
    Since 2014-07-14

Branch Locations

Marietta, GA • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Company Atlanta GA 06/2014 Present
Principal Securities Inc Atlanta GA 03/2016 Present
  • 06/2014 → Present
    Principal Life Insurance Company
    Atlanta, GA
  • 03/2016 → Present
    Atlanta, GA
Previous Registrations
Other Businesses

*RENTAL PROPERTY; OWN A RESIDENTIAL RENTAL PROPERTY IN LOUISIANA; 07/21/2014. PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 3625 Cumberland Blvd, Atlanta GA 30339, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal ADAM MINISTRIES INC. POSITION: Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/04/2022 ADDRESS: 7724 E. St. Bernard Hwy, Violet LA 70092, United States DESCRIPTION: Assisting Church in various ministries relating to food bank, homeless shelter, and Sunday Worship Services ST. PAUL COGIC POSITION: Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 1020 Forstall Street, New Orleans LA 70117, United States DESCRIPTION: Volunteer church member coordinating Worship Services and Food Bank

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-25
S63 Uniform Securities Agent State Law Examination 1996-03-19
  • S65 Uniform Investment Adviser Law Examination
    2004-10-25
  • S63 Uniform Securities Agent State Law Examination
    1996-03-19

View on SEC IAPD

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