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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-09-05
  • IA RA
    APPROVED
    Since 2024-09-05

Branch Locations

2302 W 1St St Ste 201E, Cedar Falls, IA 50613 • 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
Mcelree Construction Elgin IA 07/2020 01/2022
Norbys Farm Fleet West Union IA 02/2020 07/2020
Heying Firms West Union IA 12/2017 12/2020
Unemployed West Union IA 03/2011 11/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 03/2022 04/2024
Northwestern Mutual Investment Services Llc Waterloo IA 05/2023 04/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 10/2023 04/2024
Principal Life Insurance Company Cedar Falls IA 04/2024 Present
Principal Securities, Inc. Cedar Falls IA 04/2024 Present
Cdfs Financial Strategies Cedar Falls IA 04/2024 Present
  • 07/2020 → 01/2022
    Mcelree Construction
    Elgin, IA
  • 02/2020 → 07/2020
    Norbys Farm Fleet
    West Union, IA
  • 12/2017 → 12/2020
    Heying Firms
    West Union, IA
  • 03/2011 → 11/2017
    Unemployed
    West Union, IA
  • 03/2022 → 04/2024
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2023 → 04/2024
    Northwestern Mutual Investment Services Llc
    Waterloo, IA
  • 10/2023 → 04/2024
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 04/2024 → Present
    Principal Life Insurance Company
    Cedar Falls, IA
  • 04/2024 → Present
    Cedar Falls, IA
  • 04/2024 → Present
    Cdfs Financial Strategies
    Cedar Falls, IA
Other Businesses

**INSURANCE POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2024 ADDRESS: 2302 W 1st St., Ste 201E, Cedar Falls IA 50613, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **KUNTZ CONSTRUCTION POSITION: Carpenter NATURE: Carpentry INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2024 ADDRESS: 606 Hilltop Rd, Waterloo IA 50701, United States DESCRIPTION: I will be helping a friend periodically with small carpentry jobs for his construction business.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-08-28
S63 Uniform Securities Agent State Law Examination 2023-09-09
  • S65 Uniform Investment Adviser Law Examination
    2024-08-28
  • S63 Uniform Securities Agent State Law Examination
    2023-09-09
Other Names
  • Adrian Wurtz
  • Aj Wurtz
  • Adrian James Wurtz

View on SEC IAPD

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