Brandon Powers

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-07-09
NY	RA	APPROVED	2021-06-30

TX RA
APPROVED_RES

Since 2021-07-09
NY RA
APPROVED

Since 2021-06-30

Branch Locations

48 S Service Rd Ste 402, Melville, NY 11747 • United States

Garden City, NY • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	New York	NY	10/2012	12/2016
Principal Securities Inc	New York	NY	03/2016	Present

10/2012 → 12/2016

Principal Life Insurance Company

New York, NY
03/2016 → Present

Principal Securities Inc

New York, NY

Other Businesses

**JESSICA POWERS, INC. 08/21/2013. TREASURER FOR MY WIFE'S SMALL BUSINESS IN WHICH SHE IS A CLINICAL PSYCHOLOGIST. **Fixed Insurance, Life, Annuities, DI, LTC, Health, 12/14/15. **Brandon Powers Services Inc; Not Investment Related; New York, NY; Owner; S-Corp to files taxes and income; Start Date: 12/05/2019; na hrs per month; na during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2010-05-04

S63 Uniform Securities Agent State Law Examination

2010-05-04

View on SEC IAPD