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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| IA | RA | APPROVED | 2022-06-16 |
Branch Locations
222 3Rd Ave Se Ste 280, Cedar Rapids, IA 52401 • United States
600 West Broadway Suite 3200, San Diego, CA 92101 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Cedar Rapids | IA | 06/1998 | 06/2022 |
| Strategic Financial Solutions | Cedar Rapids | IA | 12/2005 | Present |
| Principal Securities Inc | Cedar Rapids | IA | 03/2016 | 06/2022 |
| Commonwealth Financial Network | San Diego | CA | 06/2022 | Present |
Fixed insurance sales; as of 6/16/2022; 10% time spent during business hours; Conducted at branch location; Investment related Co-owner, Strategic Financial Solutions, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 6/16/2022; 0% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-26 |
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