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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-05 |
| WI | RA | APPROVED | 2016-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Oostburg | WI | 07/2002 | Present |
| Roethel Financial | Oostburg | WI | 08/2016 | 05/2022 |
| Principal Securities | Oostburg | WI | 03/2016 | Present |
| Harrison Financial | Oostburg | WI | 05/2022 | Present |
**TAX PREPARATION, WI, EFF 12/01/10, MEET WITH INDIVIDUALS TO PREPARE TAXES FILE RETURNS. ***Fixed Insurance; Investment Related; 933 Center Ave, Oostburg, WI 53070; Agent; Fixed Annuities, Term, life, LTC, DI; Start Date: 01/01/2017; 4 per month; 3 during trading hours. HARRISON TAX SERVICE POSITION: Owner Harrison Tax Service NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2017 ADDRESS: 933 Center Ave, Oostburg WI 53070, United States DESCRIPTION: Meet with individuals to prepare and file tax returns. CEDARBURG EDUCATION FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/03/2023 ADDRESS: W68N611 Evergreen Blvd, Cedarburg WI 53012, United States DESCRIPTION: Board member of the Cedarburg Education Foundation. I will assist with fundraising efforts for their annual Gala event and attend a monthly board meeting. Also assisting with forming an investment committee and creating an Investment Policy Statement.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2002-11-05 |
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