David Keith Seems

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
CO	RA	APPROVED	2004-01-16

CO RA
APPROVED

Since 2004-01-16

Branch Locations

Highlands Ranch, CO • 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
Princor Financial Services Corporation	Engelwood	CO	01/2004	Present
Business Advisors L.L.C.	Englewood	CO	11/2005	Present
Principal Life Insurance Company	Des Moines	IA	01/2004	Present

01/2004 → Present

Princor Financial Services Corporation

Engelwood, CO
11/2005 → Present

Business Advisors L.L.C.

Englewood, CO
01/2004 → Present

Principal Life Insurance Company

Des Moines, IA

Previous Registrations

2002-08-29 → 2003-10-10

Signator Investors, Inc.

Englewood, CO
1999-01-01 → 2002-08-27

Principal Securities, Inc.

Denver, CO

Other Businesses

*Fixed insurance, Life, Annuities, LTC, DI, 8/31/15. ***Business Advisors, LLC; Investment Related; Highlands Ranch, CO; Owner; 100% owner of Business Advisors, LLC.; Start Date: 08/01/2002; 48 hrs per month; 48 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-09-08

S63 Uniform Securities Agent State Law Examination

1993-09-08

Designations

Chartered Financial Consultant

View on SEC IAPD