Susan Lynn Esses

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
IL	RA	APPROVED	2009-01-21

IL RA
APPROVED

Since 2009-01-21

Branch Locations

Chicago, IL • 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 Securities Inc	Chicago	IL	12/2008	Present

12/2008 → Present

Principal Securities Inc

Chicago, IL

Previous Registrations

2008-11-11 → 2008-12-01

Osaic Fa, Inc.

Chicago, IL
2005-08-25 → 2008-10-03

Oppenheimer & Co. Inc.

Chicago, IL

Chicago, IL
1998-02-14 → 2005-08-29

Morgan Stanley Dw Inc.

Chicago, IL

Other Businesses

RENTAL PROPERTY, OWNS AND RENTS PROPERTY, 6/7/11. **OUTSIDE INSURANCE, SELLING FIXED LIFE & HEALTH INSURANCE THROUGH VARIOUS CARRIERS, 12/27/11. ***Fixed Insurance, Group, DI, LTC, 09/29/16.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-11-10
S63	Uniform Securities Agent State Law Examination	1991-08-28

S65 Uniform Investment Adviser Law Examination

1997-11-10
S63 Uniform Securities Agent State Law Examination

1991-08-28

Designations

Certified Financial Planner

View on SEC IAPD