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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-04-21 |
Branch Locations
4600 S Syracuse Ste 1010, Denver, CO 80237 • United States
Aurora, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwfs Equities, Inc. | Greenwood Village | CO | 04/2013 | 10/2016 |
| Unemployed | Aurora | CO | 10/2016 | 06/2017 |
| Assetmark Financial, Inc. | Aurora | CO | 06/2017 | 07/2018 |
| Assetmark Brokerage, Llc | Aurora | CO | 06/2017 | 07/2018 |
| Transamerica Retirement Solutions | Aurora | CO | 07/2018 | 04/2022 |
| Transamerica Investors Securities Corporation | Aurora | CO | 07/2018 | 04/2022 |
| Principal Life Insurance | Denver | CO | 04/2022 | Present |
| Principal Securities | Denver | CO | 04/2022 | Present |
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2022 ADDRESS: 4600 S. Syracuse, Ste. 1010, Denver CO 80237, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-08 |
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