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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-12 |
Branch Locations
8936 N Pointe Executive Park Dr Ste 240, Huntersville, NC 28078 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ernst & Young Capital Advisors, Llc | Charlotte | NC | 02/2016 | 02/2017 |
| Ernst & Young U.S. Llp | Charlotte | NC | 02/2016 | 02/2017 |
| Morgan Stanley | Charlotte | NC | 03/2017 | 11/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 03/2017 | 11/2017 |
| Dixon Hughes Goodman | Charlotte | NC | 11/2017 | 10/2019 |
| Cypress Benefit Solutions | Davidson | NC | 11/2019 | Present |
| Principal Life Insurance Company | Charlotte | NC | 11/2023 | 06/2025 |
| Principal Securities, Inc. | Huntersville | NC | 11/2023 | Present |
| Accelerate Investment Advisors Llc | Aliso Viejo | CA | 07/2025 | 07/2025 |
1) Cypress Benefit Solutions - Partner; Group insurance and employee benefits / sale of fixed life and annuities, disability, long-term care, health and group benefits; not investment related; 150 hours monthly with 8 hours during securities trading hours; Start Date of 01/01/2020; Address - 3110 Streamside Drive, Davidson NC 28036.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-01-11 |
| S65 | Uniform Investment Adviser Law Examination | 2017-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-05 |
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