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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 2021-03-08
IN RA APPROVED 2017-04-18
  • TX RA
    APPROVED_RES
    Since 2021-03-08
  • IN RA
    APPROVED
    Since 2017-04-18

Branch Locations

8910 Purdue Rd Ste 705, Indianapolis, IN 46268 • 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
OrganizationCityStateFromTo
Principal Life Insurance Company Indianapolis IN 07/2014 Present
The Centennial Group Indianapolis IN 02/2015 Present
Principal Securities Inc Indianapolis IN 03/2016 Present
Aligned Dental Advisors Indianapolis IN 11/2022 Present
Aligned Wealth Management Indianapolis IN 01/2023 Present
  • 07/2014 → Present
    Principal Life Insurance Company
    Indianapolis, IN
  • 02/2015 → Present
    The Centennial Group
    Indianapolis, IN
  • 03/2016 → Present
    Indianapolis, IN
  • 11/2022 → Present
    Aligned Dental Advisors
    Indianapolis, IN
  • 01/2023 → Present
    Aligned Wealth Management
    Indianapolis, IN
Other Businesses

***OUTSIDE INSURANCE, LIFE, DI,2/26/15. **Group Benefits, Health, DI, Life, 2/15/16. ***Jewell Real Assets LLC; Not Investment Related; Carmel, IN; Owner; passive rental property, sole owner, llc does not currently own any other properties; Start Date: 10/16/2019; 4 hrs per month; 0 during trading hours. GRANT'S GIANTS POSITION: Financial Chair - Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2022 ADDRESS: 3586 Seminole Dr, Carmel IN 46032, United States DESCRIPTION: I am the Financial Chair on the Board Member for Grant's Giants Pompe non-profit. Our objective is to raise funds to assist children and their families impact by Pompe disease. To date, we plan to hold an annual fund raising event, as well as a golf outing. My duties include administrative assistance, book keeping, & event planning. We raise money through the sale of merchandise, event proceeds, and we take donations. Multiple signatures are required on checks written.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-14
S63 Uniform Securities Agent State Law Examination 2014-08-05
  • S65 Uniform Investment Adviser Law Examination
    2017-04-14
  • S63 Uniform Securities Agent State Law Examination
    2014-08-05

View on SEC IAPD

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