Courtney Siobhan Ellis

Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2021 → Present
  Principal Life Insurance Company
  Woodbury, MN
• 03/2021 → Present
  Principal Securities Inc
  Woodbury, MN
• 03/2016 → 02/2021
  Wells Fargo
  Roseville, MN
• 02/2024 → Present
  Principal Advised Services
  Woodbury, MN

Other Businesses

***ECLIPSE CREATIONS POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 07/14/2022 ADDRESS: 2755 Meadow Brook Dr, Unit B, Woodbury MN 55125, United States DESCRIPTION: I will be creating and selling bath products, i.e. bath bombs, shower fizzies. I will also be performing travel agent activities with assisting customer's with booking travel. ***CIN-CITY TRAVEL POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 1 START DATE: 04/12/2023 ADDRESS: 2755 Meadow Brook Dr, Unit B, Woodbury MN 55125, United States DESCRIPTION: Brokering travel business. Booking travel ***PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/21/2021 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. ***PRINCIPAL ADVISED SERVICES POSITION: Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities.

Exams

• S66 Uniform Combined State Law Examination
  2024-05-06
• S63 Uniform Securities Agent State Law Examination
  2014-09-17

Other Names

• Courtney Ellis