Roger Goren

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
NY	RA	APPROVED	2021-06-30

NY RA
APPROVED

Since 2021-06-30

Branch Locations

48 S Service Rd Ste 402, Melville, NY 11747 • United States

Disclosures

3 disclosure categories 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 No
Investigation Yes
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Melville	NY	06/2014	Present
Princor Financial Services Corporation	Melville	NY	06/2014	Present
Goren & Goren, Ltd	Melville	NY	07/2014	Present

06/2014 → Present

Principal Life Insurance Company

Melville, NY
06/2014 → Present

Princor Financial Services Corporation

Melville, NY
07/2014 → Present

Goren & Goren, Ltd

Melville, NY

Other Businesses

***OUTSIDE INSURANCE. 07/16/14. LIFE, HEALTH, LTC, DI, FIXED ANNUITIES. ***Fixed Insurance; Investment Related; Melville, NY; Agent; Accident insurance; Start Date: 03/01/1977; 1 hrs per month; 1 during trading hours. ***Goren & Goren LTD; Not Investment Related; NY, NY; Owner; Sole owner, used for sale of life, heath, accident; Start Date: 03/01/1977; 1 hrs per month; 1 during trading hours.