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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-16
IA RA APPROVED 2016-01-07
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • IA RA
    APPROVED
    Since 2016-01-07

Branch Locations

6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • 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 West Des Moines IA 12/2015 Present
Dc Retirement Strategies West Des Moines IA 02/2020 08/2020
Principal Securities Inc W Des Moines IA 03/2016 Present
Naviture West Des Moines IA 08/2020 Present
  • 12/2015 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 02/2020 → 08/2020
    Dc Retirement Strategies
    West Des Moines, IA
  • 03/2016 → Present
    W Des Moines, IA
  • 08/2020 → Present
    Naviture
    West Des Moines, IA
Previous Registrations
  • 2012-03-29 → 2015-12-10
    Ameritas Investment Company, Llc
    Clive, IA
    W Des Moines, IA
    Waukee, IA
    Des Moines, IA
    Des Moines, IA
    Fort Dodge, IA
Other Businesses

**Fixed Insurance; Investment Related; Ft Dodge, IA; Agent; Medicare Supplement, Group, Life, DI; Start Date: 10/28/2020; 3 hrs per month; 3 during trading hours. **Trainer's Edge; Not Investment Related; Johnston, IA; Co-Owner; fitness studio, leasing space to personal trainers and their clients; Start Date: 06/17/2020; 10 hrs per month; 4 during trading hours. **NAVITURE POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2022 ADDRESS: 6701 Westown Pkwy, Suite 200, West Des Moines IA 50266, United States DESCRIPTION: Entity established for use as DBA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-28
  • S66 Uniform Combined State Law Examination
    2012-03-28

View on SEC IAPD

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