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Anny Kadomatsu

Principal Securities, Inc.

Poway, CA

Des Moines, IA

CRD 5714551

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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
CA RA APPROVED 2024-09-12
  • CA RA
    APPROVED
    Since 2024-09-12

Branch Locations

Poway, CA • 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
First Allied Securities San Diego CA 05/2014 09/2021
Cetera Investment Advisers Llc Schaumburg IL 11/2020 09/2021
First Allied Advisory Services, Inc. San Diego CA 10/2018 11/2020
Principal Life Insurance Poway CA 10/2021 Present
  • 05/2014 → 09/2021
    First Allied Securities
    San Diego, CA
  • 11/2020 → 09/2021
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 10/2018 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 10/2021 → Present
    Principal Life Insurance
    Poway, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-29
S63 Uniform Securities Agent State Law Examination 2013-05-16
  • S65 Uniform Investment Adviser Law Examination
    2018-03-29
  • S63 Uniform Securities Agent State Law Examination
    2013-05-16
Other Names
  • Anny Choi
  • Anny Choi Kadomatsu
  • Anny Kadomatsu

View on SEC IAPD

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