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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-08-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Delaware Investments | Philadelphia | PA | 06/2012 | 05/2020 |
| Macquarie Investment Management Business Trust | Philadelphia | PA | 04/2020 | 05/2020 |
| Fidelity Investments | Marlton | NJ | 06/2020 | 03/2026 |
| Fidelity Investments | Boston | MA | 03/2025 | 03/2026 |
| Lpl Enterprise, Llc | Cherry Hill Township | NJ | 04/2026 | 08/2026 |
| Principal Securities, Inc. | Marlton | NJ | 08/2026 | Present |
| Principal Life Insurance Company | Marlton | NJ | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-11-01 |
| S65 | Uniform Investment Adviser Law Examination | 1999-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-26 |
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