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Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-08-12
NC RA APPROVED 2024-08-12
  • IA RA
    APPROVED
    Since 2024-08-12
  • NC RA
    APPROVED
    Since 2024-08-12

Branch Locations

401 Mccullough Dr Ste 200, Charlotte, NC 28262 • 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
Doordash San Francisco CA 10/2021 10/2021
Wingate University Wingate NC 08/2016 05/2021
Jolly Rolls Pineville NC 07/2018 08/2019
Summit Charlotte NC 05/2020 06/2020
Lyft San Francisco CA 07/2019 08/2020
Uber San Francisco CA 08/2019 12/2021
Associate Staffing Charlotte NC 12/2021 08/2023
Principal Securities, Inc. Charlotte NC 01/2022 Present
Principal Life Insurance Charlotte NC 08/2023 Present
Principal Advised Services Charlotte NC 06/2024 Present
  • 10/2021 → 10/2021
    Doordash
    San Francisco, CA
  • 08/2016 → 05/2021
    Wingate University
    Wingate, NC
  • 07/2018 → 08/2019
    Jolly Rolls
    Pineville, NC
  • 05/2020 → 06/2020
    Summit
    Charlotte, NC
  • 07/2019 → 08/2020
    Lyft
    San Francisco, CA
  • 08/2019 → 12/2021
    Uber
    San Francisco, CA
  • 12/2021 → 08/2023
    Associate Staffing
    Charlotte, NC
  • 01/2022 → Present
    Principal Securities, Inc.
    Charlotte, NC
  • 08/2023 → Present
    Principal Life Insurance
    Charlotte, NC
  • 06/2024 → Present
    Charlotte, NC
Other Businesses

PRINCIPAL ADVISED SERVICES POSITION: Principal Advised Services NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. 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: 02/15/2022 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-07
S63 Uniform Securities Agent State Law Examination 2022-03-04
  • S66 Uniform Combined State Law Examination
    2023-09-07
  • S63 Uniform Securities Agent State Law Examination
    2022-03-04
Other Names
  • Matthew Alan Gooch
  • Matthew Gooch

View on SEC IAPD

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