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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-01-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Country Financial | Bloomington | IL | 10/2004 | 01/2017 |
| Principal Life Insurance | Des Moines | IA | 01/2017 | Present |
| Principal Securities | Des Moines | IA | 02/2017 | Present |
COMMUNITY YOUTH CONCEPTS POSITION: Board Director - Chair NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 05/16/2022 ADDRESS: 1446 Martin Luther King Jr. PWKY, Des Moines IA 50314, United States DESCRIPTION: Ensure the health and success of the organization by approving organization policies; Develop strategic framework for the organization by assessing the organizations achievement of goals; and approve annual budget and monitor financial reports. As Secretary, I draft and record board meeting minutes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-20 |
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