Neal Wayne Cloer

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-12-19

TX RA
APPROVED

Since 2016-12-19

Branch Locations

1900 West Loop S Ste 650A, Houston, TX 77027 • United States

8310 N Capital Of Texas Hwy Bldg 1 Ste 175, Austin, TX 78731 • 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 Yes
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	Austin	TX	08/2016	Present
Principal Securities Inc	Austin	TX	08/2016	Present

08/2016 → Present

Principal Life Insurance Company

Austin, TX
08/2016 → Present

Principal Securities Inc

Austin, TX

Previous Registrations

2015-06-10 → 2016-06-02

Msi Financial Services, Inc.

Knoxville, TN
2009-10-27 → 2014-09-10

Pruco Securities, Llc.

Alexandria, VA

Charlotte, NC

Other Businesses

***Fixed Insurance; Investment Related; Austin, TX; Agent; Life, DI, Annuities, Health, LTC, Medicare Supplements, Group Products; Start Date: 08/01/2019; 16 hrs per month; 16 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-09-28
S63	Uniform Securities Agent State Law Examination	2008-08-15

S65 Uniform Investment Adviser Law Examination

2009-09-28
S63 Uniform Securities Agent State Law Examination

2008-08-15

Designations

Other Names

Neal Cloer

View on SEC IAPD

Current Employers

Principal Securities, Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

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