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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-04-22
  • NY RA
    APPROVED
    Since 2025-04-22

Branch Locations

Long Island, NY • United States

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

136 Madison Ave Ste 617, New York, NY 10016 • 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
New York Life Insurance Company Saddle Brook NJ 08/2016 03/2019
Nylife Securities Llc Saddle Brook NJ 03/2017 03/2019
Tactile Brain Llc Palisade Park NJ 02/2016 01/2017
Wells Fargo Clearing Services, Llc Middlesex NJ 10/2019 12/2020
Wells Fargo Bank, Na Middlesex NJ 09/2019 12/2020
Touch Of Spice Weehawken NJ 04/2019 09/2019
Jp Morgan Chase Bank New York NY 01/2021 04/2025
Jp Morgan Securities New York NY 01/2021 04/2025
Hotelplanner.cOm West Palm Beach FL 01/2023 07/2023
K Points Guy Llc Leonia NJ 09/2023 04/2025
Principal Life Insurance Co New York NY 04/2025 Present
Principal Securities Inc New York NY 04/2025 Present
  • 08/2016 → 03/2019
    New York Life Insurance Company
    Saddle Brook, NJ
  • 03/2017 → 03/2019
    Nylife Securities Llc
    Saddle Brook, NJ
  • 02/2016 → 01/2017
    Tactile Brain Llc
    Palisade Park, NJ
  • 10/2019 → 12/2020
    Wells Fargo Clearing Services, Llc
    Middlesex, NJ
  • 09/2019 → 12/2020
    Wells Fargo Bank, Na
    Middlesex, NJ
  • 04/2019 → 09/2019
    Touch Of Spice
    Weehawken, NJ
  • 01/2021 → 04/2025
    Jp Morgan Chase Bank
    New York, NY
  • 01/2021 → 04/2025
    Jp Morgan Securities
    New York, NY
  • 01/2023 → 07/2023
    Hotelplanner.cOm
    West Palm Beach, FL
  • 09/2023 → 04/2025
    K Points Guy Llc
    Leonia, NJ
  • 04/2025 → Present
    Principal Life Insurance Co
    New York, NY
  • 04/2025 → Present
    New York, NY
Other Businesses

**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 05/15/2025 ADDRESS: 48 S Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **K POINTS GUY LLC POSITION: Owner - Content Creator NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/03/2024 ADDRESS: 40-32 24th Street, 2FLR, Long Island City NY 11101, United States DESCRIPTION: I help people with travelling tips like how to maximize credit card points to book flights/hotels and then I give them tips on where to go and what to do when travelling. It's just something I mostly do for fun and I don't really charge. Hope is to create revenue from ad space where companies sponsor me to do ads for their products.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-14
S63 Uniform Securities Agent State Law Examination 2018-04-26
  • S65 Uniform Investment Adviser Law Examination
    2025-04-14
  • S63 Uniform Securities Agent State Law Examination
    2018-04-26
Other Names
  • John Frank Kim
  • John F Kim

View on SEC IAPD

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