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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-11-19 |
| NC | RA | APPROVED | 2025-11-19 |
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 | 11/2007 | 10/2025 |
| Principal Securities Inc | Charlotte | NC | 10/2025 | Present |
| Principal Life Insurance | Charlotte | NC | 10/2025 | Present |
| Principal Advised Services | Charlotte | NC | 10/2025 | Present |
**Principal Advised Services POSITION: Principal Advised Services NATURE: As part of Individual Solutions INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/20/2025 ADDRESS: 401 McCullough Dr, Charlotte NC 28262, United States DESCRIPTION: As part of Individual Solutions, this is OBA for my IAR with PAS. **Principal Bank POSITION: Principal Bank NATURE: As part of Individual Solutions and being an RR with PSI, this is the OBA for Principal Bank. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/20/2025 ADDRESS: 401 McCullough Dr, Charlotte NC 28262, United States DESCRIPTION: As part of Individual Solutions and being an RR with PSI, this is the OBA for Principal Bank.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 2007-12-14 |
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