John Joseph Pallaria

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2003 → Present
  Principal Life Insurance Company
  Windham, MA
• 12/2003 → Present
  Principal Securities Inc
  Windham, MA

Other Businesses

***KAPLAN FINANCIAL SERVICES, CHICAGO. BOSTON UNIVERSITY INSTRUCTOR: FINANCIAL PLANNING AVG HOURS/MONTH: 15 DURING TRADING HOURS: 0. ***COBBETTS POND IMPROVEMENT ASSOCIATION. 05/2010-PRESENT. PRESIDENT OF NON-PROFIT CORPORATION CHARGED WITH MAINTAINING WATER QUALITY IN COBBETTS POND WHERE I RESIDE. NOT INVESTMENT RELATED. COBBETTS POND IMPROVEMENT ASSOCIATION "CPIA" POSITION: Director on Board of CPIA NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2004 ADDRESS: 23 GARDNER RD, WINDHAM NH 03087, United States DESCRIPTION: CPIA is non profit corporation charged with maintaining and improving the water quality at Cobbetts Pond (Windham, NH). As a Director, we meet four (4) times per year on a volunteer unpaid basis to discuss this mission. DALTON EDUCATION LLC POSITION: CFP Instuctor NATURE: Adjunct Instruction INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2021 ADDRESS: 3625 Brookside Pkwy #450, Alpharetta GA 30022, United States DESCRIPTION: Teach financial planning courses in preparing candidates for CFP Certification. BOSTON UNIVERITY POSITION: Adjunct Professor NATURE: Adjunct Professor INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2021 ADDRESS: 233 Bay State Road, Boston MA 02216, United States DESCRIPTION: Teaching financial planning courses in preparing candidates for CFP Certification. KAPLAN UNIVERSITY POSITION: CFP Instructor NATURE: CFP Instruction INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2021 ADDRESS: 332 Front Street South, Suite 501, La Crosse WI 54601, United States DESCRIPTION: Teaching financial planning courses in preparing candidates for CFP Certification.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-08-10

Designations

• Certified Financial Planner

Other Names

• John Joseph Pallaria