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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-05-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Des Moines | IA | 06/2006 | Present |
| Principal Securities, Inc. | Des Moines | IA | 01/2012 | Present |
| Principal Advised Services | Des Moines | IA | 04/2024 | Present |
**G. G.'S CHICKEN & WAFFLES POSITION: Owner NATURE: I'm the owner of the C Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 0 START DATE: 06/08/2019 ADDRESS: 1139 24th Street, Des Moines IA 50311, United States DESCRIPTION: Restaurant company. **ANKENY CHAMBER OF COMMERCE POSITION: TRC Volunteer NATURE: Volunteer selling Sponsorships/Memberships INVESTMENT RELATED: No NUMBER OF HOURS: 14 SECURITIES TRADING HOURS: 8 START DATE: 01/23/2023 ADDRESS: 1631 SW Main St #204-205, Ankeny IA 50023, United States DESCRIPTION: TRC (Total Resource Campaign) are volunteers that sell sponsorships (and memberships) to business to be part of the Ankeny Chamber of Commerce and purchase sponsorships. For example, if the Ankeny Chamber is having a large event, a member business of the Chamber of Commerce can purchase a sponsorship where they will have signage in different places at the event. The campaign runs from 01/11 - 03/10 this year and I will likely continue to do this in the first quarter of each year. We have the potential of getting prizes based on our sales, either a gift cards or a trip prize component (travel and potentially added items while on the trip). **STAGEHAND POSITION: Stagehand NATURE: Standard Employee INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 09/29/2023 ADDRESS: 233 Center St, Des Moines IA 50309, United States DESCRIPTION: Loading and unloading gear and setting it up and tearing it down. **ANKENY CHAMBER OF COMMERCE POSITION: Executive Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 7 START DATE: 01/01/2025 ADDRESS: 1360 SW Park Square Dr Ste 104, 106 & 108, Ankeny IA 50023, United States DESCRIPTION: I'm going to be part of the Executive Board of the Ankeny Chamber of Commerce. The Executive Board has more responsibility and authority than the general board (of which I am currently part of). I will have several jobs, including roles like Treasurer, Vice Chair, Chair. I wouldn't call this an investment role, I will have times where we meet with the Financial Advisor for the Chamber, and she makes recommendations for what we should do with our investments. We then would make a recommendation to the Board at large for a full vote. I've never seen any Principal investments proposed but would recuse myself if that ever happened. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/23/2024 ADDRESS: 711 HIGH STREET, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/15/2013 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-20 |
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