Mark B Mcroy

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2018 → 04/2020
  New York Life Insurance Company
  Roanoke, VA
• 09/2018 → 04/2020
  Nylife Securities Llc
  Roanoke, VA
• 10/2015 → 05/2018
  Sanofi Us
  Roanoke, VA
• 05/2018 → 07/2018
  Unemployed
  Roanoke, VA
• 04/2020 → 10/2020
  Allstate Insurance Company
  Roanoke, VA
• 09/2018 → 03/2025
  United Health Care
  Roanoke, VA
• 09/2020 → 03/2025
  Mutual Of Omaha Insurance Company
  Roanoke, VA
• 03/2025 → Present
  Principal Life Insurance Co
  Roanoke, VA
• 03/2025 → Present
  Principal Securities Inc
  Roanoke, VA

Previous Registrations

• 2021-09-10 → 2025-03-24
  Mutual Of Omaha Investor Services, Inc.
  Glen Allen, VA
  Roanoke, VA

Other Businesses

**OUTSIDE INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 03/16/2025 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: Writing Life, DI, Annuities, LTC, Medical, Dental, Medicare and Medicaid. This will include individual as well as group products with multiple companies. **ROANOKE VALLEY ROTARY CLUB POSITION: Member Roanoke Valley Rotary Club NATURE: Member of club INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 06/10/2022 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: Member of the Roanoke Valley Rotary Club. We provide services and do charitable work in the Roanoke area. **WEDGWOOD HOMEOWNERS ASSOCIATION POSITION: HOA President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: President of the Wedgwood Homeowners Association of my neighborhood. **BOARD MEMBER POSITION: Board Member Roanoke Valley Mustang Club NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2021 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: Board Member of the Roanoke Valley Mustang Club. We are a car club that raises money for charity and participates in parades and donate our time to charitable causes.

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-09-09
• S63 Uniform Securities Agent State Law Examination
  2018-11-09

Other Names

• Mark Brian Mcroy
• Mark Mcroy