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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-01-27 |
| WI | RA | APPROVED | 2024-05-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Adp Broker-Dealer, Inc. | Milwaukee | WI | 07/2014 | 12/2017 |
| Adp Inc. | Milwaukee | WI | 07/2014 | 01/2018 |
| Transamerica Retirement Solutions | Appleton | WI | 12/2017 | 07/2019 |
| Transamerica Investors Securities Corporation | Appleton | WI | 01/2018 | 07/2019 |
| Paychex Inc | Brookfield | WI | 07/2019 | 11/2021 |
| Paychex Securities Corporation | Brookfield | WI | 07/2019 | 11/2021 |
| Lpl Financial Llc | Appleton | WI | 11/2021 | 06/2022 |
| Ifp Securities Llc | Tampa | FL | 06/2022 | 10/2022 |
| Independent Financial Partners | Tampa | FL | 06/2022 | 10/2022 |
| Woodbury Financial Services Inc | De Pere | WI | 10/2022 | 01/2024 |
| Osaic Wealth, Inc. | De Pere | WI | 01/2024 | 03/2024 |
| Packerland Brokerage Services | Green Bay | WI | 04/2024 | 04/2024 |
| Principal Life Insurance Company | Des Moines | IA | 04/2024 | Present |
| Principal Securities, Inc. | Des Moines | IA | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-26 |
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