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Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-06-29
  • IA RA
    APPROVED
    Since 2024-06-29

Branch Locations

Waterloo, IA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Co Cedar Falls IA 03/2015 09/2016
Princor Financial Services Cedar Falls IA 04/2015 09/2016
Principal Life Insurance Co Cedar Falls IA 09/2016 11/2018
Principal Life Insurance Co Des Moines IA 11/2018 Present
Principal Securities, Inc. Des Moines IA 12/2018 Present
Principal Advised Services Waterloo IA 04/2024 Present
  • 03/2015 → 09/2016
    Principal Life Insurance Co
    Cedar Falls, IA
  • 04/2015 → 09/2016
    Princor Financial Services
    Cedar Falls, IA
  • 09/2016 → 11/2018
    Principal Life Insurance Co
    Cedar Falls, IA
  • 11/2018 → Present
    Principal Life Insurance Co
    Des Moines, IA
  • 12/2018 → Present
    Principal Securities, Inc.
    Des Moines, IA
  • 04/2024 → Present
    Waterloo, IA
Other Businesses

**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 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: 12/19/2018 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-28
S63 Uniform Securities Agent State Law Examination 2018-12-28
  • S66 Uniform Combined State Law Examination
    2024-06-28
  • S63 Uniform Securities Agent State Law Examination
    2018-12-28

View on SEC IAPD

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