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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Modesto | CA | 08/2007 | 04/2023 |
| Principal Life Insurance | Modesto | CA | 08/2007 | 04/2023 |
| Commonwealth Financial Network | San Dieog | CA | 04/2023 | Present |
| D & M Financial Consultants | Modesto | CA | 04/2023 | Present |
Fixed insurance sales; as of 4/01/2023; 2% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-15 |
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