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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-06-21 |
| IA | RA | APPROVED | 2024-05-10 |
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 |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 01/2007 | 02/2018 |
| Wells Fargo Clearing Services | Charlotte | NC | 09/2019 | 04/2021 |
| Uber | Charlotte | NC | 03/2018 | 04/2021 |
| Principal Securities Inc | Charlotte | NC | 04/2021 | Present |
| Principal Life Insurance Company | Charlotte | NC | 04/2021 | Present |
| Principal Advised Services | Charlotte | NC | 02/2024 | Present |
**Uber; Not Investment Related; Charlotte, NC; Driver; driver; Start Date: 09/01/2019; 20 hrs per month; 0 during trading hours. **INTELETRAVEL POSITION: Travel agent NATURE: Travel Agent INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/12/2024 ADDRESS: 8805 Camden creek ln, apt 201, Charlotte NC 28273, United States DESCRIPTION: Travel Agent. Selling transportation, lodging, and admission to entertainment activities to individuals and groups planning trips. Offer advice on destinations, plan trip itineraries, and make travel arrangements for clients. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/05/2021 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/21/2021 ADDRESS: 6.711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-14 |
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