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ETHAN THOMAS MECHLING
CRD#: 5360340
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
DES MOINES, IA 50392
0
Disclosures
11
Years of Experience
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State Registrations
B
Illinois 1/19/2021
B
Minnesota 12/7/2018
B
Iowa 10/1/2018
B
Nebraska 4/21/2020
IA
Iowa 11/6/2018
B
North Carolina 1/30/2023
SRO Registrations
B
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IA
Registered with this firm since 11/6/2018
B
Registered with this firm since 9/11/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/06/2012 - 04/01/2014 | DES MOINES, IA | |
B | 09/18/2007 - 12/31/2009 | 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.