Catherine Elizabeth Francis

Current Employers

Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2024-06-24
FL	RA	APPROVED	2023-01-03

IA RA
APPROVED

Since 2024-06-24
FL RA
APPROVED

Since 2023-01-03

Branch Locations

Estero, FL • 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
Los Gatos Union School District	Los Gatos	CA	08/2016	06/2017
Morgan Stanley Smith Barney Llc	Palo Alto	CA	07/2017	01/2020
Morgan Stanley Private Bank, N.A.	New York	NY	10/2017	01/2020
Raymond James & Associates, Inc	Naples	FL	07/2020	02/2021
Unemployed	Wellington	FL	02/2020	06/2020
Principal Securities Inc	Estero	FL	02/2021	Present
Principal Life Insurance Company	Estero	FL	02/2021	Present
Principal Advised Services	Estero	FL	11/2022	Present

08/2016 → 06/2017

Los Gatos Union School District

Los Gatos, CA
07/2017 → 01/2020

Morgan Stanley Smith Barney Llc

Palo Alto, CA
10/2017 → 01/2020

Morgan Stanley Private Bank, N.A.

New York, NY
07/2020 → 02/2021

Raymond James & Associates, Inc

Naples, FL
02/2020 → 06/2020

Unemployed

Wellington, FL
02/2021 → Present

Principal Securities Inc

Estero, FL
02/2021 → Present

Principal Life Insurance Company

Estero, FL
11/2022 → Present

Principal Advised Services

Estero, FL

Previous Registrations

2020-08-10 → 2021-02-05

Raymond James & Associates, Inc.

Naples, FL
2017-07-19 → 2020-01-23

Morgan Stanley

Palo Alto, CA

Palo Alto, CA

Other Businesses

**Brooks School; Not Investment Related; North Andover, MA; Brooks School Alumni Board Member; Foster the ongoing relationship between the school and it's alumi. Develop plans for and help host career and networking events. Nominate new members to the board.; Start Date: 03/01/2018; 2 hrs per month; 0 during trading hours. **PRINCIPAL ADVISED SERVICES POSITION POSITION: Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/03/2023 ADDRESS: 1126 Medan Ct. N, Naples FL 34113, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2025 ADDRESS: 1126 Medan Ct. N, Naples FL 34113, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-07-19

S66 Uniform Combined State Law Examination

2017-07-19

Other Names

Catherine Cannon
Catherine E Cannon-Francis
Catherine Cannon-Francis
Catherine Francis

View on SEC IAPD