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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-15 |
| NY | RA | APPROVED | 2021-06-30 |
Branch Locations
1175 Pittsford Victor Rd Ste 150, Pittsford, NY 14534 • 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 | Rochester | NY | 05/2001 | Present |
| Principal Securities Inc | Rochester | NY | 05/2001 | Present |
***OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, DISABILITY INSURANCE AND LONG TERM CARE INSURANCE THROUGH VARIOUS CARRIERS, 10/23/14. ***BLUE WAVE PROPERTIES LLC, 50% OWNER OF LLC THAT OWNS RENTAL PROPERTIES, 05/07/15. DIR WEALTH MANAGEMENT, LLC POSITION: Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 1175 Pittsford Victor Rd, Ste 150, Pittsford NY 14534, United States DESCRIPTION: LLC was formed for liability reasons for my office lease and all related expenses. Bank account was established under LLC name to pay all office related expenses. no revenue runs thru the LLC. it is a single member LLC and I am the only member.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-07-03 |
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