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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-04-05 |
| NC | RA | APPROVED | 2023-06-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Clover | SC | 06/2010 | 06/2021 |
| Wells Fargo Advisors Llc | Clover | SC | 04/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Clover | SC | 11/2016 | 06/2021 |
| Principal Life Insurance Company | Charlotte | NC | 06/2021 | Present |
| Principal Securities Inc | Charlotte | NC | 07/2021 | Present |
| Principal Advised Services | Charlotte | NC | 06/2023 | Present |
**Charlotte Adult Baseball League; Not Investment Related; Charlotte, NC; Treasurer; Take audited books of the accountant and report back findings to board. Translate prepared annual and monthly reports to board. Approve purchases/expenses, ensure taxes are filed. Create and manage budgets.; Start Date: 01/01/2019; 5 hrs per month; 0 during trading hours. **PRINCIPAL ADVISED SERVICES POSITION: Director NATURE: PAS INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/23/2024 ADDRESS: 401 McCullough Drive, Suite 201, Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I oversee staff that offers 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: PRINCIPAL BANK NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/17/2021 ADDRESS: 401 McCullough Drive, Suite 201, Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2012-06-13 |
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