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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2018-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Ins Co | Holmen | WI | 03/2012 | Present |
| Union Financial Inc | Holmen | WI | 03/2015 | Present |
| Humpal Financial Inc | Holmen | WI | 06/2016 | Present |
| Principal Securities, Inc. | Holmen | WI | 03/2016 | Present |
| United Financial Advisors, Llc | Holmen | WI | 05/2021 | Present |
***GROUP BENEFITS, SALES AND SERVICE OF NON-SECURITIES RELATED GROUP BENEFITS LIKE GROUP MEDICAL, GROUP DISABILITY AND GROUP DENTAL THROUGH VARIOUS CARRIERS, 04/03/15.***OUTSIDE INSURANCE, SALES AND SERVICE OF FIXED LIFE INSURANCE, LONG TERM CARE INSURANCE, DISABILITY INSURANCE AND FIXED ANNUITIES THROUGH VARIOUS CARRIERS, 7/27/15. ***United Financial Advisors, LLC; Not Investment Related; Holmen, WI; Co-owner; Co-owner of LLC established for DBA; Start Date: 02/09/2021; 10 hrs per month; 10 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-28 |
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