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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2020-01-22 |
Branch Locations
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 |
|---|---|---|---|---|
| Oneota Financial | Decorah | IA | 01/2011 | 01/2020 |
| Signator Investors, Inc. | Decorah | IA | 05/2016 | 11/2018 |
| Royal Alliance Associates, Inc. | Decorah | IA | 11/2018 | 01/2020 |
| Principal Life Insurance Company | Decorah | IA | 01/2020 | Present |
| Principal Securities Inc | Decorah | IA | 01/2020 | Present |
| Oneota Financial | Decorah | IA | 01/2020 | Present |
***Fixed Insurance; Not Investment Related; Decorah, IA; Agent; Life, DI, Annuities, Health, Medicare Supplements; Start Date: 01/01/2020; 10 hrs per month; 10 during trading hours.***Rental Property; Not Investment Related; Decorah, IA; Owner; Owner or rental property. Receives rental income.; Start Date: 06/16/2020; 1 hrs per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-21 |
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