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Matthew Martens

Principal Securities, Inc.

Wauwatosa, WI

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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 2021-06-18
WI RA APPROVED 2016-04-15
  • TX RA
    APPROVED_RES
    Since 2021-06-18
  • WI RA
    APPROVED
    Since 2016-04-15

Branch Locations

10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226 • 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 Ins Co Milwaukee WI 05/2013 Present
Principal Securities Inc Wauwatosa WI 03/2016 Present
Great Lakes Retirement Plan Consultants Wauwatosa WI 11/2023 07/2024
  • 05/2013 → Present
    Principal Life Ins Co
    Milwaukee, WI
  • 03/2016 → Present
    Principal Securities Inc
    Wauwatosa, WI
  • 11/2023 → 07/2024
    Great Lakes Retirement Plan Consultants
    Wauwatosa, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-13
S63 Uniform Securities Agent State Law Examination 2014-01-25
  • S66 Uniform Combined State Law Examination
    2016-04-13
  • S63 Uniform Securities Agent State Law Examination
    2014-01-25

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
U.S. BANCORP ADVISORS, LLC
CURI CAPITAL, LLC
AFFILIATED FINANCIAL ADVISORS INC
CETERA INVESTMENT ADVISERS LLC
PACKERLAND BROKERAGE SERVICES, INC.
HARBOUR INVESTMENTS, INC.
J. W. COLE ADVISORS, INC.

Other Investors

FRANK ANTHONY MULARZ III
Alicia Brooke Lantz
Andrew Lee Kroll
Edward August Behling
David Edward Koehler
DANIEL JOSEPH MATOLA
BRIAN ARTHUR JANECKE
JASON VERN VOELKER

Other Offices

LPL FINANCIAL LLC · WAUWATOSA, WI
U.S. BANCORP ADVISORS, LLC · Wauwatosa, WI
CURI CAPITAL, LLC · Milwauikee, WI
AFFILIATED FINANCIAL ADVISORS INC · MILWAUKEE, WI
CETERA INVESTMENT ADVISERS LLC · WAUWATOSA, WI
PACKERLAND BROKERAGE SERVICES, INC. · WAUWATOSA, WI
HARBOUR INVESTMENTS, INC. · MILWAUKEE, WI
AFFILIATED FINANCIAL ADVISORS INC · MILWAUKEE, WI

More in Wauwatosa, WI

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