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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-16
FL RA APPROVED 2022-07-21
  • TX RA
    APPROVED
    Since 2022-11-16
  • FL RA
    APPROVED
    Since 2022-07-21

Branch Locations

4830 W Kennedy Blvd Ste 550, Tampa, FL 33609 • United States

Tampa, FL • 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
Principal Life Insurance Company Tampa FL 06/2022 Present
Principal Securities Inc Tampa FL 06/2022 Present
Uber Tampa FL 05/2017 06/2022
Lcg Advisors Tampa FL 08/2020 02/2022
Jpmorgan Chase Tampa FL 06/2017 07/2020
Fsu Tallahassee FL 05/2017 05/2018
Vsolvit Ventura CA 03/2017 04/2017
Fsu Tallahassee FL 09/2015 02/2017
  • 06/2022 → Present
    Principal Life Insurance Company
    Tampa, FL
  • 06/2022 → Present
    Tampa, FL
  • 05/2017 → 06/2022
    Uber
    Tampa, FL
  • 08/2020 → 02/2022
    Lcg Advisors
    Tampa, FL
  • 06/2017 → 07/2020
    Jpmorgan Chase
    Tampa, FL
  • 05/2017 → 05/2018
    Fsu
    Tallahassee, FL
  • 03/2017 → 04/2017
    Vsolvit
    Ventura, CA
  • 09/2015 → 02/2017
    Fsu
    Tallahassee, FL
Other Businesses

UBER POSITION: Uber Driver NATURE: Uber driver INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/23/2022 ADDRESS: 2560 Brown Noddy Lane, Apt 208, Tampa FL 33619, United States DESCRIPTION: I will be a part-time uber driver, driving solely on nights and weekends outside of regular business hours. This presents opportunities to meet with new people.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-10-20
S65 Uniform Investment Adviser Law Examination 2022-03-18
  • S63 Uniform Securities Agent State Law Examination
    2022-10-20
  • S65 Uniform Investment Adviser Law Examination
    2022-03-18
Other Names
  • Chauncey Thomas

View on SEC IAPD

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