Miguel A Lopez

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1995 → Present
  Principal Mutual Life Insurance Co.
  Elk Grove, CA
• 03/2016 → Present
  Principal Securities Inc
  Elk Grove, CA

Other Businesses

*OUTSIDE INSURANCE,SALES OF HEALTH, INDIVIDUAL FIXED LIFE INSURANCE, FIXED ANNUITIES & LONG TERM CARE INSURANCE & DISABILITIES THROUGH CARIOUS CARRIERS, 5/1/15 ***Fixed Insurance; Investment Related; Elk Grove, CA; Broker; Group Benefits; Start Date: 03/25/2021; 5 hrs per month; 5 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-09-23
• S63 Uniform Securities Agent State Law Examination
  1997-04-11

Other Names

• Michael Lopez
• Mike Lopez