Caleb William Ploeger
Professional Summary
Caleb William Ploeger is a registered financial advisor currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa. Caleb is registered as a RR (Registered Representative) and started their career in finance in 2022. Caleb has worked at 1 firm and has passed the Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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PRINCIPAL SECURITIES, INC.
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Disclosures on record.
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Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC
Contact Information
Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266Phone Number
(515) 342-4616Established
Indiana since 04/21/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2022About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Caleb William Ploeger's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.