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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-12-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc | Scottsdale | AZ | 10/2007 | 07/2023 |
| Home Product Warehouse, Llc | Phoenix | AZ | 11/2016 | 11/2024 |
| Principal Securities, Inc. | Peoria | AZ | 10/2024 | Present |
| Principal Life Insurance Company | Peoria | AZ | 10/2024 | Present |
**PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/21/2024 ADDRESS: 9060 W Orchid Ln, Peoria AZ 85345, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance /broker-dealer and bank/trust offerings for Principal. **HOME PRODUCT WAREHOUSE, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2016 ADDRESS: 9060 W Orchid Ln, Peoria AZ 85345, United States DESCRIPTION: This is an LLC that I own with my spouse. The company sells retail products via Amazon and eBay (e.g., candles, perfumes, soaps, etc.). It's not investment-related and no hours are spent during the weekday working hours on this business. **RENTAL INCOME PROPERTIES POSITION: Owner of rental properties NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/14/2017 ADDRESS: 9060 W Orchid Ln, Peoria AZ 85345, United States DESCRIPTION: I receive rental income from three properties. One property was my former primary residence before I got married in 2017 (this property is under my name). The other two are properties owned by my spouse that he brought into the marriage (those are under his name).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 2007-11-20 |
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