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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-17 |
| WI | RA | APPROVED | 2011-02-28 |
Branch Locations
10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Brookfield | WI | 06/2002 | Present |
| Union Financial Inc. | Wauwatosa | WI | 07/2008 | Present |
| Principal Securities Inc | Wauwatosa | WI | 03/2016 | Present |
***OUTSIDE INSURANCE, SELLING FIXED ANNUITIES, FIXED LIFE INSURANCE, LONG TERM CARE AND GROUP BENEFITS AND DISABILITY THROUGH VARIOUS CARRIERS, 9/5/11. ***Fixed insurance Fixed life, DI, health, dental, 8/1/16.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-08 |
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