Theo S. Basis Joins Spartan Capital Securities as Chief Compliance Officer [Yahoo! Finance]
Principal Financial Group Inc (PFG)
Last principal financial group inc earnings: 4/27 04:15 pm
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US:NYSE Investor Relations:
investors.principal.com/investor-relations/default.aspx
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Source: Yahoo! Finance
Basis as the firm's new Chief Compliance Officer. With over 30 years of experience in compliance and regulatory roles across broker-dealer, registered investment advisory, insurance, and investment banking sectors, Mr. Basis brings a wealth of leadership and expertise. He excels in overseeing compliance governance and ensuring regulatory adherence. Throughout his career, Mr. Basis has held leadership positions at some of the most prominent financial institutions, including AXA Equitable, Prudential, Principal Financial Group, TD Wealth Management, Signature Bank/Securities, W.J. Nolan & Co. (a NYSE member), and, most recently, Laidlaw & Co. Additionally, Theo worked as a Senior Compliance Examiner with FINRA Membership Regulation , District #10 in New York, working in Special Investigations/Enforcement, where he developed a sharp acumen for assessing regulatory risks and implementing solutions to ensure regulatory compliance. Mr. Basis is an expert in the application of SEC, FINRA
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PFG
Earnings
- 10/27/25 - Miss
PFG
Sec Filings
- 12/19/25 - Form 4
- 12/18/25 - Form 144
- 12/11/25 - Form 4
- PFG's page on the SEC website