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CODY ANTHONY LAWLER
CRD#: 5162072
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
DES MOINES, IA 50392
0
Disclosures
18
Years of Experience
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State Registrations
B
Iowa 6/29/2012
B
Texas 5/17/2024
IA
Iowa 6/29/2012
IA
Texas 5/17/2024
SRO Registrations
B
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IA
Registered with this firm since 6/29/2012
B
Registered with this firm since 11/11/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/08/2008 - 10/30/2008 | DES MOINES, IA | |
B | 05/08/2008 - 10/30/2008 | DES MOINES, IA | |
B | 05/08/2008 - 10/30/2008 | DES MOINES, IA | |
B | 06/27/2006 - 04/15/2008 | DES MOINES, IA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.