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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2009-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Omaha | NE | 03/2016 | Present |
***OUTSIDE INSURANCE, SELLING INDIVIDUAL & SMALL GROUP HEALTH INSURANCE PLANS THROUGH OCI FINANCIAL SERVICES, 1/08.**OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE * LONG TERM CARE THROUGH VARIOUS CARRIERS, 4/20/12.***Fixed Insurance; Investment Related; Omaha, NE; Broker; Group Benefits, Individual and Group Health, Medicare; Start Date: 01/01/2019; 40 hrs per month; 40 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-11 |
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