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Vernon Craig Maples

Principal Securities, Inc.

Raleigh, NC

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2001-12-31
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

4141 Parklake Ave Ste 450, Raleigh, NC 27612 • 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 Raleigh NC 07/1998 Present
Principal Securities Inc Raleigh NC 03/2016 Present
  • 07/1998 → Present
    Principal Life Insurance Company
    Raleigh, NC
  • 03/2016 → Present
    Principal Securities Inc
    Raleigh, NC
Other Businesses

***Fixed Insurance, Fixed life, annuities, DI and LTC, 05/10/16.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-08
S63 Uniform Securities Agent State Law Examination 1983-12-12
  • S65 Uniform Investment Adviser Law Examination
    1999-07-08
  • S63 Uniform Securities Agent State Law Examination
    1983-12-12
Designations

View on SEC IAPD

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Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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