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Inactive

Dawn Roach

Principal Securities, Inc.

Des Moines, IA

West Des Moines, 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 2000-01-12
  • IA RA
    APPROVED
    Since 2000-01-12

Branch Locations

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

West Des Moines, 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
Principal Financial Des Moines IA 04/1999 Present
Princor Financial Services Corporation Des Moines IA 04/1999 Present
  • 04/1999 → Present
    Principal Financial
    Des Moines, IA
  • 04/1999 → Present
    Princor Financial Services Corporation
    Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-13
  • S66 Uniform Combined State Law Examination
    1999-12-13
Other Names
  • Dawn Elizabeth Roach

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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