Amber L Schwaab

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-08-12
AZ	RA	APPROVED	2026-06-12

TX RA
APPROVED_RES

Since 2026-08-12
AZ RA
APPROVED

Since 2026-06-12

Branch Locations

Phoenix, AZ • 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	Milwaukee	WI	09/2015	06/2017
Princor Financial Services Corporation	Milwaukee	WI	09/2015	06/2017
Charles Schwab & Co., Inc.	Phoenix	AZ	07/2017	08/2018
Bmo Wealth Direct	Brookfield	WI	03/2023	06/2026
Stratos Wealth Partners	Scottsdale	AZ	08/2018	03/2023
Principal Life Insurance Company	Phoenix	AZ	06/2026	Present
Principal Securities, Inc.	Phoenix	AZ	06/2026	Present
Fireborn Advisory Partners	Phoenix	AZ	07/2026	Present

09/2015 → 06/2017

Principal Life Insurance Company

Milwaukee, WI
09/2015 → 06/2017

Princor Financial Services Corporation

Milwaukee, WI
07/2017 → 08/2018

Charles Schwab & Co., Inc.

Phoenix, AZ
03/2023 → 06/2026

Bmo Wealth Direct

Brookfield, WI
08/2018 → 03/2023

Stratos Wealth Partners

Scottsdale, AZ
06/2026 → Present

Principal Life Insurance Company

Phoenix, AZ
06/2026 → Present

Principal Securities, Inc.

Phoenix, AZ
07/2026 → Present

Fireborn Advisory Partners

Phoenix, AZ

Previous Registrations

2023-03-30 → 2026-06-26

Lpl Financial Llc

Phoenix, AZ

Brookfield, WI

Scottsdale, AZ

Chandler, AZ

Mesa, AZ
2018-08-16 → 2023-03-13

Stratos Wealth Partners, Ltd

Scottsdale, AZ

Scottsdale, AZ
2017-07-20 → 2018-08-16

Charles Schwab & Co., Inc.

Phoenix, AZ
2016-04-04 → 2017-07-12

Principal Securities, Inc.

Wauwatosa, WI

Other Businesses

**FIXED INSURANCE POSITION: Fixed insurance NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/02/2026 ADDRESS: 179 W. Wilson St., Apt 528, Madison WI 53705, United States DESCRIPTION: Sales of fixed insurance products through various vendors to include fixed life, fixed annuity, DI, LTC, Health, Medical and group benefits. **THE PHOENIX BUSINESS COLLECTIVE POSITION: The Phoenix Business Collective NATURE: The Phoenix Business Collective INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 75 START DATE: 07/02/2026 ADDRESS: N83W31141 Kilbourne Rd, Hartland WI 53029, United States DESCRIPTION: The Phoenix Business Collective is a company that assists its members by leveraging their collective buying power to create efficiencies, increase value and identify exclusive opportunities and strategic advantages. Members of the collective, by working together, are able to create efficiencies, negotiate better terms and deliver access to premium services and resources to drive business growth. **FIREBORN ADVISORY PARTNERS (DBA) POSITION: COO NATURE: All sales related to Principal products will be done through this DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 07/02/2026 ADDRESS: N83W31141 Kilbourne Rd, Hartland WI 53029, United States DESCRIPTION: Joining established DBA.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-11-18

S66 Uniform Combined State Law Examination

2015-11-18

Other Names

Amber Lyn Schwaab
Amber Lyn Grundman
Amber L Grundman

View on SEC IAPD