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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 2018-01-25
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • IA RA
    APPROVED
    Since 2018-01-25

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
Metlife Securities Inc. West Des Moines IA 01/2015 03/2017
Massachusetts Mutual Life Insurance Company West Des Moines, Ia IA 07/2016 01/2018
Mml Investors Services, Llc West Des Moines IA 03/2017 01/2018
Principal Life Insurance Company West Des Moines IA 01/2018 Present
Principal Securities Inc West Des Moines IA 01/2018 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    West Des Moines, IA
  • 07/2016 → 01/2018
    Massachusetts Mutual Life Insurance Company
    West Des Moines, Ia, IA
  • 03/2017 → 01/2018
    West Des Moines, IA
  • 01/2018 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 01/2018 → Present
    West Des Moines, IA
Previous Registrations
  • 2017-03-25 → 2018-01-19
    West Des Moines, IA
    West Des Moines, IA
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    West Des Moines, IA
  • 2011-05-12 → 2015-01-02
    New England Securities
    West Des Moines, IA
    West Des Moines, IA
    Des Moines, IA
Other Businesses

***Fixed Insurance; Investment Related; 6701 Westown Pkwy, Suite 200, West Des Moines, IA 50266; Agent; Group Benefits, DI, LTC, Health; Start Date: 11/01/2017; 10 hrs per month; 5 during trading hours. ***Link Associates; Not Investment Related; 1452 29th St, West Des Moines, IA 50266; Board member; Board of Directors; Start Date: 07/01/2016; 2 hrs per month; 2 during trading hours. ***Project 52, Inc.; Not Investment Related; PO Box 3681, Urbandale, IA 50323; Board Member; Board of Director; Start Date: 01/01/2013; 0 hrs per month; 0 during trading hours. ***INSURANCE POSITION: Structured Settlement 360 Financial NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/07/2024 ADDRESS: 6701 Westown Pkwy., Ste. 200, West Des Moines IA 50266, United States DESCRIPTION: We will be working with Doug Arnest at 360 financial to provide a structured settlement annuity for a client for lifetime payout. A portion of the settlement will go to the structured annuity with New York Life we are establishing this to be able to split the commission with the Structured Settlement broker.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-14
S63 Uniform Securities Agent State Law Examination 2010-06-21
  • S65 Uniform Investment Adviser Law Examination
    2011-04-14
  • S63 Uniform Securities Agent State Law Examination
    2010-06-21
Designations
Other Names
  • Matthew R. Banzhaf
  • Matthew Banzhaf
  • Matt Banzhaf

View on SEC IAPD

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