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Ryan Simmons

Principal Securities, Inc.

Des Moines, IA

Clive, IA

CRD 2703803

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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

AuthorityCategoryStatusDate
IA RA APPROVED 2017-06-22
  • IA RA
    APPROVED
    Since 2017-06-22

Branch Locations

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

Clive, IA • 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
Metlife Securities Inc. Overland Park KS 01/2015 05/2017
Mml Investors Services, Llc Overland Park KS 03/2017 05/2017
Principal Life Insurance Des Moines IA 06/2017 Present
Principal Securities Des Moines IA 06/2017 Present
  • 01/2015 → 05/2017
    Metlife Securities Inc.
    Overland Park, KS
  • 03/2017 → 05/2017
    Mml Investors Services, Llc
    Overland Park, KS
  • 06/2017 → Present
    Principal Life Insurance
    Des Moines, IA
  • 06/2017 → Present
    Principal Securities
    Des Moines, IA
Previous Registrations
  • 2017-03-25 → 2017-05-18
    Mml Investors Services, Llc
    Overland Park, KS
  • 2016-06-13 → 2017-03-25
    Msi Financial Services, Inc.
    St. Louis, MO
    Overland Park, KS
    Overland Park, KS
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-27
S63 Uniform Securities Agent State Law Examination 1996-02-12
  • S66 Uniform Combined State Law Examination
    2016-05-27
  • S63 Uniform Securities Agent State Law Examination
    1996-02-12
Other Names
  • Ryan Wade Simmons

View on SEC IAPD

Nearby Firms

OSAIC INSTITUTIONS, INC.
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC

Nearby Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers

Nearby Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA

More in Des Moines, IA

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