Steven Michael Cannatella

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
CA	RA	APPROVED	2012-07-10

CA RA
APPROVED

Since 2012-07-10

Branch Locations

Danville, CA • 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

Organization	City	State	From	To
Principal Life Ins Co	Danville	CA	07/2012	Present
Principal Securities Inc	Danville	CA	07/2012	Present

07/2012 → Present

Principal Life Ins Co

Danville, CA
07/2012 → Present

Principal Securities Inc

Danville, CA

Previous Registrations

2007-04-30 → 2011-09-28

Equitable Advisors, Llc

Danville, CA

Walnut Creek, CA

San Francisco, CA

Walnut Creek, CA
2004-04-02 → 2007-05-14

1717 Capital Management Company

Walnut Creek, CA
1999-11-08 → 2003-03-28

Msi Financial Services, Inc.

Lafayette, CA

Other Businesses

**OUTSIDE INSURANCE. 05/30/2013. DENTAL, INDIV HEALTH. **Fixed Insurance, Fixed life, DI, Annuity, LTC 9/20/16. **Fixed Insurance; Investment Related; Walnut Creek, CA; Agent; Annuity, LTC; Start Date: 04/08/2019; 5 hrs per month; 5 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-22
S63	Uniform Securities Agent State Law Examination	1995-03-15

S65 Uniform Investment Adviser Law Examination

1999-06-22
S63 Uniform Securities Agent State Law Examination

1995-03-15

View on SEC IAPD