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Michael Spencer Burke

Principal Securities, Inc.

Hopkinton, MA

Des Moines, IA

CRD 3143855

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-02-16
MA RA APPROVED 2019-02-22
  • TX RA
    APPROVED_RES
    Since 2023-02-16
  • MA RA
    APPROVED
    Since 2019-02-22

Branch Locations

Hopkinton, MA • United States

711 High St, Des Moines, IA 50392 • 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
OrganizationCityStateFromTo
Principal Life Insurance Company Hopkinton MA 06/1998 Present
Principal Securities Inc Hopkinton MA 06/1998 Present
  • 06/1998 → Present
    Principal Life Insurance Company
    Hopkinton, MA
  • 06/1998 → Present
    Principal Securities Inc
    Hopkinton, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-22
S63 Uniform Securities Agent State Law Examination 1999-01-15
  • S65 Uniform Investment Adviser Law Examination
    2005-02-22
  • S63 Uniform Securities Agent State Law Examination
    1999-01-15

View on SEC IAPD

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