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500 Sw 7Th Street Suite 204, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-09 |
| SD | RA | APPROVED | 2020-08-06 |
Branch Locations
500 Sw 7Th Street Suite 204, Des Moines, IA 50309 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securties Financial Services Corporation | Piedmont | SD | 06/2009 | 12/2017 |
| Principal Financial Group | Rapid City | SD | 06/2009 | 11/2017 |
| Lpl Financial, Llc | Piedmont | SD | 12/2017 | 08/2020 |
| Visionpoint Advisory Group, Llc | Piedmont | SD | 12/2017 | 08/2020 |
| Ria Advisory Group Llc | Des Moines | IA | 08/2020 | Present |
1. Hanson Ranch - Not Investment Related - 13644 Sunshine Valley Road, Piedmont SD 57769 - Other-Farm - Started 05/2015 - 10 Hours Per Month/0 Hours During Securities Trading - Time Spent 10% - Run a small ranch. 2. No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 4/16/2018 60 Hours Per Month/3 Hours During Securities Trading - Time Spent 25% - Fixed Life, Fixed Annuity, Disability, LTC. 3. CDVP, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2019 - 200 Hours Per Month During Securities Trading. 4. CK3, INC. - Not investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:02/07/2019 - 5 hrs/mo - 1 hr during trading. 5. Resolve Physician Agency - Investment Related - At Reported Business Location(s) - Other-Benefit Education - Benefit Analyst - Started 11/11/2019 - 7 Hours Per Month During Securities Trading - Calls with doctors to help them understand the benefits that their new possible employer is offering.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-18 |
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