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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2025-04-01
TX RA APPROVED 2025-04-01
  • MO RA
    APPROVED
    Since 2025-04-01
  • TX RA
    APPROVED
    Since 2025-04-01

Branch Locations

16305 Swingley Ridge Rd Ste 465, Chesterfield, MO 63017 • United States

Manchester, MO • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc St Louis MO 10/2014 11/2016
Emc2 The World Dba Globalwise Communities Saint Louis MO 03/2013 12/2018
Wells Fargo Clearing Services, Llc St Louis MO 11/2016 07/2019
Slalom Consulting Saint Louis MO 07/2019 06/2022
Neuroleadership Institute New York MO 07/2022 07/2023
Uber Saint Louis MO 11/2023 01/2024
Upwork Saint Louis MO 11/2023 06/2024
Unemployed Saint Louis MO 08/2023 10/2023
New York Life Insurance Co Creve Coeur MO 05/2024 03/2025
Nylife Securities, Llc Creve Coeur MO 06/2024 03/2025
Principal Life Insurance Company Saint Louis MO 03/2025 Present
Principal Securities, Inc. Saint Louis MO 03/2025 Present
  • 10/2014 → 11/2016
    Wells Fargo Advisors, Llc
    St Louis, MO
  • 03/2013 → 12/2018
    Emc2 The World Dba Globalwise Communities
    Saint Louis, MO
  • 11/2016 → 07/2019
    St Louis, MO
  • 07/2019 → 06/2022
    Slalom Consulting
    Saint Louis, MO
  • 07/2022 → 07/2023
    Neuroleadership Institute
    New York, MO
  • 11/2023 → 01/2024
    Uber
    Saint Louis, MO
  • 11/2023 → 06/2024
    Upwork
    Saint Louis, MO
  • 08/2023 → 10/2023
    Unemployed
    Saint Louis, MO
  • 05/2024 → 03/2025
    New York Life Insurance Co
    Creve Coeur, MO
  • 06/2024 → 03/2025
    Nylife Securities, Llc
    Creve Coeur, MO
  • 03/2025 → Present
    Principal Life Insurance Company
    Saint Louis, MO
  • 03/2025 → Present
    Saint Louis, MO
Previous Registrations
Other Businesses

**OUTSIDE INSURANCE SALES VIA PPN/CRUMP POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/28/2025 ADDRESS: 1800 S Brentwood Blvd, Apt 1424, St. Louis MO 63144, United States DESCRIPTION: Offering Non-proprietary Insurance products and services via PPN/Crump for through various carriers for LTC; Life Insurance; Annuities; DI and group insurance. **VARSITY TUTORS POSITION: Tutor NATURE: Tutoring INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 8 START DATE: 10/20/2025 ADDRESS: 1800 S Brentwood Blvd, Apt 1424, St. Louis MO 63144, United States DESCRIPTION: I tutor clients age 12 to unlimited in approved tutoring subjects. Subjects include ACT/SAT/SSAT, Anthropology, Chinese, Finance, Sociology, Work History and more. most hours are outside of trading hours, occasionally I will tutor during trading hours. All tutoring occurs online. **WHOLE FOODS POSITION: Grocery Team Member NATURE: Part Time Retail Job INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 07/21/2026 ADDRESS: 1160 Town and Country Crossing Drive, Town and Country MO 63017, United States DESCRIPTION: Part-time grocery stock team member. Retail grocery store. Unload and stock nonperishable grocery items as directed.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-03-13
S63 Uniform Securities Agent State Law Examination 2024-07-12
S66 Uniform Combined State Law Examination 2015-01-15
  • S65 Uniform Investment Adviser Law Examination
    2025-03-13
  • S63 Uniform Securities Agent State Law Examination
    2024-07-12
  • S66 Uniform Combined State Law Examination
    2015-01-15
Other Names
  • Shawn Benjamin Mahoney
  • Shawn Mahoney

View on SEC IAPD

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