Douglas Ray Havel

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-17
IA	RA	APPROVED	1999-08-20

TX RA
APPROVED_RES

Since 2021-06-17
IA RA
APPROVED

Since 1999-08-20

Branch Locations

1059 Longfellow Dr Ste A, Hiawatha, IA 52233 • United States

Disclosures

1 disclosure category 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 No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Hiawatha	IA	07/1998	Present
Union Financial, Inc.	Menomonee Falls	WI	03/2019	03/2022
Principal Securities Inc	Hiawatha	IA	03/2016	Present

07/1998 → Present

Principal Life Insurance Company

Hiawatha, IA
03/2019 → 03/2022

Union Financial, Inc.

Menomonee Falls, WI
03/2016 → Present

Principal Securities Inc

Hiawatha, IA

Other Businesses

***OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, DISABILITY INSURANCE AND LONG TERM CARE INSURANCE THROUGH VARIOUS CARRIERS, 10/24/14.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-07-01

S63 Uniform Securities Agent State Law Examination

1992-07-01

Other Names

Doug Havel

View on SEC IAPD

Current Employers

Principal Securities, Inc.

Disclosures

Employment History

Other Businesses

Exams

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