Robert Ralph Mandolesi

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
TX	RA	APPROVED_RES	2021-03-08
CA	RA	APPROVED	2004-06-09

TX RA
APPROVED_RES

Since 2021-03-08
CA RA
APPROVED

Since 2004-06-09

Branch Locations

Bakersfield, CA • 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

Organization	City	State	From	To
Principal Life Insurance Company	Bakersfield	CA	09/1998	Present
Principal Securities, Inc.	Bakersfield	CA	03/2016	Present

09/1998 → Present

Principal Life Insurance Company

Bakersfield, CA
03/2016 → Present

Principal Securities, Inc.

Bakersfield, CA

Other Businesses

***A CUT ABOVE LIMOUSINE. 04/2006-PRESENT. SILENT PARTNER. ***PRINCIPAL PRODUCT NETWORK (PPN), 01/2010, BROKER. ***RENTAL PROPERTY, 01/2010-PRESENT. OWNER. ***VARIOUS CARRIERS. 01/2010-PRESENT. BROKER, SELLS IND/GRP HEALTH INSURANCE. ***Rental House, Owner, 09/12/16.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-20
S63	Uniform Securities Agent State Law Examination	1996-06-03

S65 Uniform Investment Adviser Law Examination

1999-12-20
S63 Uniform Securities Agent State Law Examination

1996-06-03

View on SEC IAPD