Daniel George Mandich

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:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2014-01-17

MN RA
APPROVED

Since 2014-01-17

Branch Locations

11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • 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

Organization	City	State	From	To
Principal Securities Inc	Minnetonka	MN	12/1986	Present
Principal Life Insurance Company	Minnetona	MN	07/1998	Present

12/1986 → Present

Principal Securities Inc

Minnetonka, MN
07/1998 → Present

Principal Life Insurance Company

Minnetona, MN

Other Businesses

***OUTSIDE INSURANCE. 08/15/14. LIFE, HEALTH, MEDICAL SUPPLEMENT, GROUP, HEALTH, DI. ***Rental; Not Investment Related; St. Pete Beach, FL; Owner; Renting out time share, owns 5 weeks sometimes rents out unused weeks.; Start Date: 02/29/2020; 0 hrs per month; 0 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-11-07
S63	Uniform Securities Agent State Law Examination	1987-04-13

S65 Uniform Investment Adviser Law Examination

1997-11-07
S63 Uniform Securities Agent State Law Examination

1987-04-13

Other Names

Mandy Mandich

View on SEC IAPD