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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-01-08
  • AZ RA
    APPROVED
    Since 2026-01-08

Branch Locations

2231 E Camelback Rd Ste 350, Phoenix, AZ 85016 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 07/2023 11/2025
Target Chandler AZ 06/2019 06/2023
Bongiorno Bagels Gilbert AZ 10/2018 02/2021
Full Time Student, Pre And Post Secondary Chandler AZ 07/2005 05/2023
Principal Securities, Inc. Phoenix AZ 12/2025 Present
Principal Life Insurance Company Phoenix AZ 12/2025 Present
  • 07/2023 → 11/2025
    St Louis, MO
  • 06/2019 → 06/2023
    Target
    Chandler, AZ
  • 10/2018 → 02/2021
    Bongiorno Bagels
    Gilbert, AZ
  • 07/2005 → 05/2023
    Full Time Student, Pre And Post Secondary
    Chandler, AZ
  • 12/2025 → Present
    Phoenix, AZ
  • 12/2025 → Present
    Principal Life Insurance Company
    Phoenix, AZ
Previous Registrations
  • 2023-09-13 → 2026-01-16
    St. Louis, MO
    Chandler, AZ
    St Louis, MO
    Mesa, AZ
Other Businesses

**INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/16/2026 ADDRESS: 2355 E Camelback Rd Suite 501, Phoenix AZ 85016, United States DESCRIPTION: Fixed insurance: Life, disability, annuities, long-term care, health, Medicare supplements, group benefits. **SCHATTENBERG WEALTH SOLUTIONS LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/14/2026 ADDRESS: 575 West Pecos Rd, Apt 2027, Chandler AZ 85286, United States DESCRIPTION: An LLC strictly to track pay and transactions associated with my Principal related business. I transfer my 1099 checks into this account once I receive them and don't receive any outside payments.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-05
  • S66 Uniform Combined State Law Examination
    2023-09-05
Other Names
  • Austin Michael Schattenberg

View on SEC IAPD

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