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Kathleen Ann Riocci

Principal Securities, Inc.

Stamford, CT

Des Moines, IA

CRD 6216476

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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
CT RA APPROVED 2023-08-07
TX RA APPROVED_RES 2023-01-12
  • CT RA
    APPROVED
    Since 2023-08-07
  • TX RA
    APPROVED_RES
    Since 2023-01-12

Branch Locations

Stamford, CT • 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
Principal Life Insurance Company Stamford CT 06/2016 Present
Principal Securities Inc Stamford CT 07/2016 Present
  • 06/2016 → Present
    Principal Life Insurance Company
    Stamford, CT
  • 07/2016 → Present
    Principal Securities Inc
    Stamford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-14
S63 Uniform Securities Agent State Law Examination 2016-08-15
  • S65 Uniform Investment Adviser Law Examination
    2016-10-14
  • S63 Uniform Securities Agent State Law Examination
    2016-08-15
Other Names
  • Kathleen Ann Pallotta

View on SEC IAPD

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