Nicholas R Flatness

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:

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

Current Employers

Employment History

• 07/2014 → 03/2017
  Metlife Securities Inc
  Minnetonka, MN
• 07/2016 → 11/2017
  Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 03/2017 → 11/2017
  Mml Investors Services, Llc
  Minnetonka, MN
• 11/2017 → 02/2020
  Guardian Life Insurance Company
  Minneapolis, MN
• 11/2017 → 02/2020
  Park Avenue Securities
  Minneapolis, MN
• 02/2020 → Present
  Principal Life Insurance Company
  Minnetonka, MN
• 02/2020 → Present
  Principal Securities Inc
  Minnetonka, MN

Previous Registrations

• 2017-11-29 → 2020-01-31
  Park Avenue Securities Llc
  Minnetonka, MN
• 2017-03-25 → 2017-11-14
  Mml Investors Services, Llc
  Plymouth, MN
• 2014-08-12 → 2017-03-25
  Msi Financial Services, Inc.
  Minnetonka, MN
• 2013-11-21 → 2014-07-22
  Waddell & Reed
  Savage, MN

Other Businesses

**Fixed Insurance; Investment Related; Lake Elmo, MN; Agent; Life, Annuity, DI, Health, LTC, Medicare Supplement, Group; Start Date: 01/27/2020; 20 hrs per month; 5 during trading hours. **THE PARACHUTE FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 6110 Blue Circle Drive, Ste 280, Minnetonka MN 55343, United States DESCRIPTION: Board Member for the Parachute Foundation. Will attend monthly Board Meetings & assist with Foundation events as a volunteer. No products & services will be offered. There are no customers of the foundation, only volunteers & individuals who support the charity with their time or thru their donations. **MAHTOMEDI SOCCER ASSOCIATION POSITION: Coach NATURE: Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 08/05/2025 ADDRESS: 29 Long Lake Road, Mahtomedi MN 55115, United States DESCRIPTION: Coach for youth soccer. Responsible for field set up & takedown, drills, & development of players. Activities to take place after hours (non-office & non-market hours) & weekends for games & tournaments. Volunteer role as parent to the team.

Exams

• S66 Uniform Combined State Law Examination
  2013-11-20
• S63 Uniform Securities Agent State Law Examination
  2006-06-28

Other Names

• Nicholas Ryan Flatness
• Nick Flatness