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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-10-19
  • PA RA
    APPROVED
    Since 2010-10-19

Branch Locations

550 E Swedesford Rd Ste 240, Wayne, PA 19087 • United States

Philadelphia, PA • 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 Co Wayne PA 01/1984 Present
Principal Securities Inc Wayne PA 04/1984 Present
Other Businesses

**OUTSIDE INSURANCE, FIXED LIFE & ANNUITIES, LTC, DI, GROUP, HEALTH, 3/31/15. **Our Mother of Consolation Alumni Association; Not Investment Related; Philadelphia, PA; Vice President; Build membership. No check writing or funds handling, no investment decision making; Start Date: 01/26/2019; 10 hrs per month; 0 during trading hours. **LLC FOR BUSINESS EXPENSES POSITION: Dwyer Wealth Management LLC NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/16/2024 ADDRESS: 550 E. Swedesford Road, Suite 240, Wayne PA 19087, United States DESCRIPTION: We established an LLC for our team under Dwyer Wealth Management LLC. Michael Dwyer, Brendan Dwyer, and I are equal partners of the LLC. We will be using the LLC for business expenses such as taxes, payroll etc. **DWYER BROTHERS PARTNERSHIP POSITION: Co-owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: None, Ambler PA 11111, United States DESCRIPTION: Update - This partnership is now dormant and there are no plans to utilize in the future. The building has been sold and there is no rental income being collected.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-06-27
  • S63 Uniform Securities Agent State Law Examination
    1984-06-27
Designations

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