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Richard Andrew Garcia

Principal Securities, Inc.

Des Moines, IA

Chicago, IL

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-11-17
TX RA APPROVED 2021-06-17
  • IL RA
    APPROVED
    Since 2021-11-17
  • TX RA
    APPROVED
    Since 2021-06-17

Branch Locations

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

Chicago, IL • 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 01/2013 05/2017
Sharpline Cedar Falls IA 05/2010 01/2017
Hy-Vee Ankeny IA 02/2017 11/2017
Principal Life Insurance Downers Grove IL 11/2017 Present
Principal Securities Downers Grove IL 12/2017 Present
  • 01/2013 → 05/2017
    University Of Northern Iowa
    Cedar Falls, IA
  • 05/2010 → 01/2017
    Sharpline
    Cedar Falls, IA
  • 02/2017 → 11/2017
    Hy-Vee
    Ankeny, IA
  • 11/2017 → Present
    Principal Life Insurance
    Downers Grove, IL
  • 12/2017 → Present
    Principal Securities
    Downers Grove, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-27
S63 Uniform Securities Agent State Law Examination 2019-06-07
  • S65 Uniform Investment Adviser Law Examination
    2019-09-27
  • S63 Uniform Securities Agent State Law Examination
    2019-06-07

View on SEC IAPD

Other Firms

OSAIC INSTITUTIONS, INC.
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
EDWARD JONES
WEST FINANCIAL ADVISORS, L.L.C.
AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers
ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

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

More in Des Moines, IA

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