Presley Austin Carter

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:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-08-04
TX	RA	APPROVED_RES	2021-06-17
TN	RA	APPROVED	2006-02-06

FL RA
APPROVED

Since 2026-08-04
TX RA
APPROVED_RES

Since 2021-06-17
TN RA
APPROVED

Since 2006-02-06

Branch Locations

North Fort Myers, FL • United States

Nashville, TN • 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 No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Co	Nashville	TN	09/2004	Present
Principal Securities Inc	Nashville	TN	01/2006	Present

09/2004 → Present

Principal Life Insurance Co

Nashville, TN
01/2006 → Present

Principal Securities Inc

Nashville, TN

Other Businesses

***BELLE MEADE HIGHLANDER CO. 04/2001-PRESENT. CONDO ASSOCIATION BOARD MEMBER. NOT INVESTMENT RELATED. ***AIG. 05/2007-PRESENT. GRP ANN, SPIA, FIXED ANN BROKER. 5 HRS/MO. NOT INVESTMENT RELATED. ***CRUMP. 09/2009-PRESENT. FIXED ANNUITIES SALES, AGENT. NOT INVESTMENT RELATED. 10 HRS/MO. GROUP ANNUITIES THROUGH A VARIETY OF CARRIERS, 2/16/2010, NOT INVESTMENT RELATED. **BELLE MEADE HOMEOWNERS ASSOCIATION, CONDO HOME OWNERS ASSOCIATION BOARD MEMBER-VOTED BY HOMEOWNERS, 6/1998, NOT INVESTMENT RELATED.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-09-04

S63 Uniform Securities Agent State Law Examination

1996-09-04

Designations

Chartered Financial Consultant

View on SEC IAPD