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Austin Michael Swantz

Principal Securities, Inc.

Des Moines, IA

Waterloo, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2018-07-10
  • IA RA
    APPROVED
    Since 2018-07-10

Branch Locations

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

Waterloo, IA • 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
University Of Northern Iowa Cedar Falls IA 08/2016 05/2017
Unemployed Cedar Falls IA 05/2017 07/2017
Student Waterloo IA 07/2007 05/2017
Principal Life Insurance Company Des Moines IA 07/2017 Present
Principal Securities Inc Des Moines IA 07/2017 Present
  • 08/2016 → 05/2017
    University Of Northern Iowa
    Cedar Falls, IA
  • 05/2017 → 07/2017
    Unemployed
    Cedar Falls, IA
  • 07/2007 → 05/2017
    Student
    Waterloo, IA
  • 07/2017 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 07/2017 → Present
    Principal Securities Inc
    Des Moines, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-07-03
  • S65 Uniform Investment Adviser Law Examination
    2018-07-03

View on SEC IAPD

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Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

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