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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-05-15
  • TX RA
    APPROVED
    Since 2019-05-15

Branch Locations

5080 Spectrum Dr Ste 1200E, Addison, TX 75001 • 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 Ins Co Dallas TX 09/2013 01/2019
Princor Financial Services Corp Dallas TX 09/2013 01/2019
Ten Talents Wealth Management Addison TX 10/2017 04/2019
Lpl Financial Llc Hurst TX 01/2019 04/2019
Householder Group Estate & Retirement Specialists Hurst TX 01/2019 04/2019
Principal Life Insurance Company Addison TX 04/2019 Present
Principal Securities Incorporated Addison TX 04/2019 Present
Ten Talents Wealth Management Addison TX 04/2019 Present
  • 09/2013 → 01/2019
    Principal Life Ins Co
    Dallas, TX
  • 09/2013 → 01/2019
    Princor Financial Services Corp
    Dallas, TX
  • 10/2017 → 04/2019
    Ten Talents Wealth Management
    Addison, TX
  • 01/2019 → 04/2019
    Lpl Financial Llc
    Hurst, TX
  • 01/2019 → 04/2019
    Householder Group Estate & Retirement Specialists
    Hurst, TX
  • 04/2019 → Present
    Principal Life Insurance Company
    Addison, TX
  • 04/2019 → Present
    Principal Securities Incorporated
    Addison, TX
  • 04/2019 → Present
    Ten Talents Wealth Management
    Addison, TX
Previous Registrations
  • 2019-01-23 → 2019-05-01
    Householder Group Estate & Retirement Specialists
    Hurst, TX
  • 2013-09-25 → 2019-01-24
    Addison, TX
  • 2011-03-30 → 2013-09-11
    Usaa Financial Planning Services
    Addison, TX
    Dallas, TX
  • 2010-01-07 → 2011-03-17
    Msi Financial Services, Inc.
    Dallas, TX
Other Businesses

***Ten Talents Wealth Management; Not Investment Related; Addison, TX; Owner; S Corp, sole ownership of entity for DBA.; Start Date: 01/23/2019; 0 hrs per month; 0 during trading hours. ***Fixed Insurance; Investment Related; ; Agent; Fixed: Annuities, LI, DI, LTC, Health, Group Benefits; Start Date: 04/01/2019; 40 hrs per month; 40 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-29
S63 Uniform Securities Agent State Law Examination 2008-07-28
  • S65 Uniform Investment Adviser Law Examination
    2009-12-29
  • S63 Uniform Securities Agent State Law Examination
    2008-07-28
Designations

View on SEC IAPD

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