Best Investors Account Sign in
Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2023-09-14
TX RA APPROVED 2023-01-17
  • NH RA
    APPROVED
    Since 2023-09-14
  • TX RA
    APPROVED
    Since 2023-01-17

Branch Locations

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

Windham, NH • 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 Windham MA 11/2003 Present
Principal Securities Inc Windham MA 12/2003 Present
  • 11/2003 → Present
    Principal Life Insurance Company
    Windham, MA
  • 12/2003 → Present
    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
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-08-10
  • S63 Uniform Securities Agent State Law Examination
    1999-08-10
Designations
Other Names
  • John Joseph Pallaria

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Des Moines, IA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor