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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2019-07-19
  • IA RA
    APPROVED
    Since 2019-07-19

Branch Locations

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

Malden, MA • 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
City Of Malden Malden MA 01/2003 07/2019
Jhfn Sii Boston MA 04/2013 11/2018
Royal Alliance Associates, Inc. Jersey City NJ 11/2018 07/2019
Principal Life Insurance Company Des Moines IA 07/2019 Present
Principal Securities Inc Des Moines IA 07/2019 Present
  • 01/2003 → 07/2019
    City Of Malden
    Malden, MA
  • 04/2013 → 11/2018
    Jhfn Sii
    Boston, MA
  • 11/2018 → 07/2019
    Royal Alliance Associates, Inc.
    Jersey City, NJ
  • 07/2019 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 07/2019 → Present
    Des Moines, IA
Previous Registrations
  • 2018-11-02 → 2019-05-20
    Scottsdale, AZ
    Boston, MA
  • 2013-04-15 → 2018-11-02
    Signator Investors, Inc.
    Boston, MA
    Boston, MA
  • 2012-05-31 → 2012-12-31
    Global Investment Advisors, Llc
    Malden, MA
    Miami Beach, FL
Other Businesses

**WINTER AVE REALTY TRUST POSITION: Winter Ave Realty Trust NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2022 ADDRESS: 20 WINTER AVE, MALDEN MA 02148, United States DESCRIPTION: It's equal ownership in a single-family investment property. I am one of the tow owners, my role was primarily to provide capital. The business dealings are control[ed] by Anthony Spadafora (cousin) in terms of rent collections, and maintenance. I do have check-writing capabilities. **JAC HOLDING POSITION: Co-owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1 Malden Street, Malden MA 02148, United States DESCRIPTION: It's equal ownership in a single-family investment property. I am one of the three owners, my role was primarily to provide [capital?] The business dealings are control[ed] by Jon Spadafora (cousin) in terms of rent collection, and maintenance., I do not have check-writing capabilities. **MALDEN RETIREMENT BOARD POSITION: Board member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/31/2026 ADDRESS: 215 Pleasant Street, Malden MA 02148-6836, United States DESCRIPTION: The Mayor has asked me to service as his appointment on the Malden Retirement Board, a separate entity outside of the city charter. The board having recently lost a member, the Mayor has asked me to serve as his appointment for the remaining term. Given that he is not seeking reelection, I anticipate my tenure will last no more than 10 months.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-30
S63 Uniform Securities Agent State Law Examination 1999-09-16
  • S66 Uniform Combined State Law Examination
    2012-05-30
  • S63 Uniform Securities Agent State Law Examination
    1999-09-16
Other Names
  • Craig Akin Spadafora

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