John S Malhotra

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
CA	RA	APPROVED	2025-10-28
TX	RA	APPROVED	2025-10-28

CA RA
APPROVED

Since 2025-10-28
TX RA
APPROVED

Since 2025-10-28

Branch Locations

Carmichael, CA • United States

2998 Douglas Blvd Ste 330, Roseville, CA 95661 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Carmichael	CA	01/2015	Present
Principal Securities, Inc.	Carmichael	CA	03/2016	Present
Malhotra Financial	Carmichael	CA	10/2023	Present
Malhotra Financial & Insurance Services	Carmichael	CA	02/2024	Present

01/2015 → Present

Principal Life Insurance Company

Carmichael, CA
03/2016 → Present

Principal Securities, Inc.

Carmichael, CA
10/2023 → Present

Malhotra Financial

Carmichael, CA
02/2024 → Present

Malhotra Financial & Insurance Services

Carmichael, CA

Other Businesses

*FIXED INSURANCE; LIFE, DI, ANNUITIES; 09/19/16. *OUTSIDE INSURANCE; GROUP HEALTH; 05/18/2017 RJS BOUTIQUE WINES, LLC (WORK VINEYARD) POSITION: 50% owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/27/2015 ADDRESS: 8154 Juli Ct., Citrus Heights CA 95610, United States DESCRIPTION: Passive role. Family Business. I simply invested in 50% of the Production Company RJS Boutique Wines, LLC with my Sister owning the other half.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-10-27
S63	Uniform Securities Agent State Law Examination	2015-05-11

S65 Uniform Investment Adviser Law Examination

2025-10-27
S63 Uniform Securities Agent State Law Examination

2015-05-11

View on SEC IAPD