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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-07 |
| IA | RA | APPROVED | 2024-10-01 |
Branch Locations
Land O'LAkes, FL • United States
Saint Petersburg, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens Inc | St Petersburg | FL | 08/2006 | 10/2017 |
| Rbc Capital Markets, Llc | St. Petersburg | FL | 11/2017 | 02/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tampa | FL | 02/2021 | 07/2022 |
| Bank Of America, N.A. | Tampa | FL | 04/2021 | 07/2022 |
| Fisher Investments | Tampa | FL | 08/2022 | 09/2024 |
| Principal Life Insurance | St Epetersburg | FL | 09/2024 | Present |
| Principal Securities Inc | Des Moines | IA | 09/2024 | Present |
| Principal Advised Services | Saint Petersburg | FL | 09/2024 | Present |
**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/19/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/19/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-10-30 |
| S66 | Uniform Combined State Law Examination | 2018-01-22 |
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