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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life | Louisville | KY | 09/2001 | 11/2022 |
| Eagle Strategies Llc | Oxnard | CA | 03/2014 | 11/2022 |
| Mass Mutual Life Insurance Company | Irvine | CA | 11/2022 | 12/2023 |
| Mml Investors Services Llc | Irvine | CA | 01/2023 | 12/2023 |
| Principal Life Insurance Company | Irvine | CA | 12/2023 | Present |
| Principal Securities, Inc. | Irvine | CA | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-23 |
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