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Nicholas David Wittenburg

Principal Securities, Inc.

Des Moines, IA

Denver, IA

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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 2022-11-07
IA RA APPROVED 2019-11-13
  • TX RA
    APPROVED_RES
    Since 2022-11-07
  • IA RA
    APPROVED
    Since 2019-11-13

Branch Locations

711 High St, Des Moines, IA 50392 • United States

Denver, IA • 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 Des Moines IA 08/2012 Present
Principal Securities Inc Des Moines IA 03/2016 Present
  • 08/2012 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 03/2016 → Present
    Principal Securities Inc
    Des Moines, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-11-12
S63 Uniform Securities Agent State Law Examination 2014-12-09
  • S65 Uniform Investment Adviser Law Examination
    2019-11-12
  • S63 Uniform Securities Agent State Law Examination
    2014-12-09
Other Names
  • Nick Wittenburg

View on SEC IAPD

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Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

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