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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2020-03-25
  • GA RA
    APPROVED
    Since 2020-03-25

Branch Locations

3625 Cumberland Blvd Se Ste 1000, Atlanta, GA 30339 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Life Scottsdale AZ 06/1995 06/2017
National Life And Nfsg Atlanta GA 08/2016 07/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 07/2017 07/2019
Northwestern Mutual Investment Services Llc Atlanta GA 08/2017 07/2019
Principal Life Insurance Company Atlanta GA 07/2019 Present
Principal Securities Inc Atlanta GA 07/2019 Present
  • 06/1995 → 06/2017
    New York Life
    Scottsdale, AZ
  • 08/2016 → 07/2017
    National Life And Nfsg
    Atlanta, GA
  • 07/2017 → 07/2019
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 08/2017 → 07/2019
    Northwestern Mutual Investment Services Llc
    Atlanta, GA
  • 07/2019 → Present
    Principal Life Insurance Company
    Atlanta, GA
  • 07/2019 → Present
    Atlanta, GA
Other Businesses

***Fixed Insurance; Investment Related; Atlanta, GA; Agent; Fixed Life, LTC, DI, Annuity, Group, Health; Start Date: 04/22/2021; 4 hrs per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-25
S63 Uniform Securities Agent State Law Examination 1987-09-03
  • S66 Uniform Combined State Law Examination
    2020-02-25
  • S63 Uniform Securities Agent State Law Examination
    1987-09-03
Other Names
  • Ray Frank Avrett
  • Frank Avrett
  • Ray Frank Avrett

View on SEC IAPD

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