Thomas Hoffman

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2022-06-16

MN RA
APPROVED

Since 2022-06-16

Branch Locations

New Brighton, MN • United States

711 High St, Des Moines, IA 50392 • 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
Snap Fitness	Red Wing	MN	09/2016	04/2017
Edward Jones	Red Wing	MN	05/2017	11/2020
Waddell & Reed, Inc.	Woodbury	MN	12/2020	06/2021
Lpl Financial Llc	Roseville	MN	07/2021	06/2022
Principal Life Insurance Company	New Brighton	MN	06/2022	Present
Principal Securities Inc	Des Moines	IA	06/2022	Present
Green Guardian Wealth Management	Roseville	MN	06/2022	11/2023

09/2016 → 04/2017

Snap Fitness

Red Wing, MN
05/2017 → 11/2020

Edward Jones

Red Wing, MN
12/2020 → 06/2021

Waddell & Reed, Inc.

Woodbury, MN
07/2021 → 06/2022

Lpl Financial Llc

Roseville, MN
06/2022 → Present

Principal Life Insurance Company

New Brighton, MN
06/2022 → Present

Principal Securities Inc

Des Moines, IA
06/2022 → 11/2023

Green Guardian Wealth Management

Roseville, MN

Previous Registrations

2021-07-21 → 2022-06-22

Lpl Financial Llc

Roseville, MN

Savage, MN

Woodbury, MN
2020-12-02 → 2021-07-21

Waddell & Reed

Savage, MN

Woodbury, MN

Roseville, MN
2017-07-20 → 2020-11-24

Edward Jones

Red Wing, MN

St Louis, MO

Maryland Heights, MO

New Brighton, MN

Minneapolis, MN

Minneapolis, MN

Other Businesses

SILVER OAKS CONDOMINIUMS POSITION: Rental Payment NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 350 Oakwood Dr Apt 8, New Brighton MN 55112, United States DESCRIPTION: Own a condo and rent out one of the bedrooms to my roommate who pays me $675/mth.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-07-14

S66 Uniform Combined State Law Examination

2017-07-14

Other Names

Thomas Clarke Hoffman

View on SEC IAPD