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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-12-01
TX RA APPROVED 2023-12-01
  • AZ RA
    APPROVED
    Since 2023-12-01
  • TX RA
    APPROVED
    Since 2023-12-01

Branch Locations

Oracle, AZ • United States

2231 E Camelback Rd Ste 350, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Life Insurance Company Tucson AZ 06/2007 11/2023
Nylife Securities Llc Tucson AZ 09/2007 11/2023
Eagle Strategies Llc Tucson AZ 05/2012 11/2023
Full Moon Financial Tuscon AZ 08/2020 11/2023
Principal Life Insurance Company Phoenix AZ 11/2023 Present
Principal Securities, Inc Phoenix AZ 11/2023 Present
Full Moon Financial Phoenix AZ 12/2023 Present
  • 06/2007 → 11/2023
    New York Life Insurance Company
    Tucson, AZ
  • 09/2007 → 11/2023
    Nylife Securities Llc
    Tucson, AZ
  • 05/2012 → 11/2023
    Tucson, AZ
  • 08/2020 → 11/2023
    Full Moon Financial
    Tuscon, AZ
  • 11/2023 → Present
    Principal Life Insurance Company
    Phoenix, AZ
  • 11/2023 → Present
    Phoenix, AZ
  • 12/2023 → Present
    Full Moon Financial
    Phoenix, AZ
Previous Registrations
Other Businesses

**FIXED INSURANCE POSITION: Registered Rep NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/13/2023 ADDRESS: 2355 E. Camelback Rd, Suite 501, Phoenix AZ 85016, United States DESCRIPTION: Fixed Insurance; life, disability, annuities, long term care, health, Medicare supplements, group benefits **INSURANCE / Full Moon Financial POSITION: Financial Advisor NATURE: Fee based advisor, financial strategies, life insurance/annuities, business consulting as an approved activity through a broker dealer INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2024 ADDRESS: 575 W. Sunset Ave, Oracle AZ 85623, United States DESCRIPTION: An approved DBA for Full Moon Financial already exists; I am applying for an OBA for Full Moon Financial LLC. I am the only owner for the LLC. I wished to form for liability protection. My intension is to run group business and life insurance through this LLC. I will not purchase real estate with this entity.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-14
S63 Uniform Securities Agent State Law Examination 2008-03-29
  • S66 Uniform Combined State Law Examination
    2012-05-14
  • S63 Uniform Securities Agent State Law Examination
    2008-03-29
Other Names
  • Scarlett Rebecca Vogel

View on SEC IAPD

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