David Erick Waugh

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2006-08-22

IA RA
APPROVED

Since 2006-08-22

Branch Locations

Davenport, IA • United States

5207 Competition Dr, Bettendorf, IA 52722 • 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
Planning Group, Waugh & Folsom	Davenport	IA	02/2012	09/2018
Principal Life Insurance Company	Davenport	IA	03/2013	Present
Principal Securities Inc	Davenport	IA	03/2016	Present

02/2012 → 09/2018

Planning Group, Waugh & Folsom

Davenport, IA
03/2013 → Present

Principal Life Insurance Company

Davenport, IA
03/2016 → Present

Principal Securities Inc

Davenport, IA

Other Businesses

*QUAD CITIES AMATEUR TOUR. NON-PROFIT ORGANIZATION THAT RAISES AND CONTRIBUTES MONEY TO LOCAL CHARITIES, BOARD MEMBER. 7/27/2012. *OUTSIDE INSURANCE - FIXED ANNUITIES AND LIFE INSURANCE, LONG TERM CARE INSURANCE AND DISABILITY INCOME INSURANCE; BROKER; 07/30/13. **Rental Property. own a rental property in tipton, IA, 10/8/15.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-08-14
S63	Uniform Securities Agent State Law Examination	1999-02-04

S65 Uniform Investment Adviser Law Examination

2006-08-14
S63 Uniform Securities Agent State Law Examination

1999-02-04

Other Names

David Waugh

View on SEC IAPD