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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-06-04 |
| WY | RA | APPROVED | 2023-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Casper | WY | 02/2013 | 04/2017 |
| Nylife Securities Llc | Casper | WY | 10/2014 | 04/2017 |
| Bancwest Investment Services, Inc. | Laramie | WY | 04/2017 | 04/2020 |
| Bank Of The West | Laramie | WY | 04/2017 | 04/2020 |
| Lpl Financial, Llc | Laramie | WY | 05/2020 | 09/2023 |
| Principal Life Insurance Company | Laramie | WY | 09/2023 | Present |
| Principal Securities Inc | Laramie | WY | 09/2023 | Present |
| Wildcatter Wealth Management | Laramie | WY | 09/2023 | Present |
**LOMO LIVESTOCK AND SHOW FEED, LLC POSITION: owner/operator NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2022 ADDRESS: 4433 Soldier Springs Road, Laramie WY 82070, United States DESCRIPTION: I sell show feed and show pigs to the general public. **INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/11/2023 ADDRESS: 410 E Grad Ave, Suite 313, Laramie WY 82070, United States DESCRIPTION: Occasional sales of life insurance, disability, annuities, long term care, health insurance, Medicare supplements, and group benefits not offered by Principal. **ROOTS OUT WEST, LLC POSITION: Realtor NATURE: Real Estate Sales/Broker INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2023 ADDRESS: 412 S 2nd St, Laramie WY 82070, United States DESCRIPTION: I'm a licensed Realtor affiliated with Roots Out West, LLC and I sell the occasional property in Laramie, WY and the surrounding area. I conducted this business activity with the full knowledge and approval of my previous B/D and disclosed it to Principal prior to joining. **CENTENNIAL SOCIAL CLUB POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/18/2024 ADDRESS: 4433 Soldier Springs Road, Laramie WY 82070, United States DESCRIPTION: I've been elected president of a ladies social club, and my primary function is to plan luncheons.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2015-02-09 |
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