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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-08
NE RA APPROVED 2016-03-30
  • TX RA
    APPROVED_RES
    Since 2021-03-08
  • NE RA
    APPROVED
    Since 2016-03-30

Branch Locations

18205 Capitol Ave Ste 300, Elkhorn, NE 68022 • 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
Principal Life Insurance Company Elkhorn NE 03/2016 Present
Principal Securities Inc Elkhorn NE 03/2016 Present
  • 03/2016 → Present
    Principal Life Insurance Company
    Elkhorn, NE
  • 03/2016 → Present
    Elkhorn, NE
Previous Registrations
  • 2011-05-24 → 2016-03-29
    Manarin Investment Counsel Ltd
    San Juan, PR
Other Businesses

***JPB Enterprises, Computer Consulting, 4/5/16. ***Fixed Insurance, Life, DI, LTC, Annuities, 02/21/17.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-18
S63 Uniform Securities Agent State Law Examination 1999-07-01
  • S66 Uniform Combined State Law Examination
    2011-05-18
  • S63 Uniform Securities Agent State Law Examination
    1999-07-01

View on SEC IAPD

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