Karen Jewell Hamilton

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	2021-06-17
AL	RA	APPROVED	2017-03-27

TX RA
APPROVED_RES

Since 2021-06-17
AL RA
APPROVED

Since 2017-03-27

Branch Locations

Grand Bay, AL • United States

19973 State Highway 181 Ofc # B-2, Fairhope, AL 36532 • 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

Organization	City	State	From	To
Principal Life Insurance Company	Theodore	AL	10/1998	Present
Principal Securities Inc	Grand Bay	AL	03/2016	Present
Union Financial, Inc.	Grand Bay	AL	09/2021	Present
Fourth Column Financial Group	Theodore	AL	09/2011	Present

10/1998 → Present

Principal Life Insurance Company

Theodore, AL
03/2016 → Present

Principal Securities Inc

Grand Bay, AL
09/2021 → Present

Union Financial, Inc.

Grand Bay, AL
09/2011 → Present

Fourth Column Financial Group

Theodore, AL

Other Businesses

***MOBILE COUNTY REPUBLICAN EXECUTIVE COMMITTEE. VOTE ON ISSUES RELATING TO THE STATE REPUBLICAN PARTY,05/28/10.***ALABAMA STATE REPUBLICAN EXECUTIVE COMMITTEE, VOTE ON ISSUES RELATING TO THE STATE REPUBLICAN PARTY,05/28/10. ***OUTSIDE INSURANCE, LIFE, FIXED ANNUITIES, 10/09/14.**RENTAL PROPERTY, OWNER, 2/24/15. ***Fixed Insurance, Health, 10/07/15. ***Fixed Insurance, LTC, DI, 12/14/15. ***Karen's Kids Scholarship Fund; Not Investment Related; 14301 Burnham Rd, Grand Bay, AL 36541; Committee Member/Founder; Scholarship fund established by RR. Funds held in church account. RR sits on committee that chooses recipient and has one vote.; Start Date: 08/01/2018; 1 hrs per month; 1 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-03-27
S63	Uniform Securities Agent State Law Examination	1998-12-28

S65 Uniform Investment Adviser Law Examination

2017-03-27
S63 Uniform Securities Agent State Law Examination

1998-12-28

View on SEC IAPD