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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-10-29 |
| NC | RA | APPROVED | 2025-10-28 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services Llc. | Charlotte | NC | 12/2002 | 06/2025 |
| Tiaa | Charlotte | NC | 12/2002 | 06/2025 |
| Lpl Financial Llc | Fort Mill | SC | 09/2025 | 10/2025 |
| Principal Life Insurance Co | Charlotte | NC | 10/2025 | Present |
| Principal Securities Inc | Charlotte | NC | 10/2025 | Present |
| Principal Advised Services | Charlotte | NC | 10/2025 | Present |
**PRINCIPAL BANK POSITION: Principal Bank NATURE: As part of Individual Solutions and being an RR with PSI, this is the OBA for Principal Bank. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/20/2025 ADDRESS: 401 MCCULLOUGH DR STE 210, Charlotte NC 28262, United States DESCRIPTION: As part of Individual Solutions and being an RR with PSI, this is the OBA for Principal Bank. **PRINCIPAL ADVISED SERVICES POSITION: Principal Advised Services NATURE: As part of Individual Solutions, this is the OBA for my IAR with PAS. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/20/2025 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: As part of Individual Solutions, this is OBA for my IAR with PAS. **COACH POSITION: Coach NATURE: Assist with men's life coaching INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/06/2026 ADDRESS: 715 Rollerton Road, Apartment 206, Charlotte NC 28205, United States DESCRIPTION: Title: Coach. Role: Coach men with improving their communication skills - this is done from my home on the weekends over zoom calls.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-13 |
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