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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-06-20 |
| IA | RA | APPROVED | 2024-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank N/A | Des Moines | IA | 11/2015 | 11/2017 |
| Principal Life Insurance | Des Moines | IA | 11/2017 | 04/2024 |
| Principal Securities | Des Moines | IA | 12/2017 | 04/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | West Des Moines | IA | 04/2024 | Present |
| Bank Of America N.A. | West Des Moines | IA | 05/2024 | Present |
***Iowa High School Athletic Association; Not Investment Related; 1605 South Story Street, Boone, IA 50036; Referee; Referreing sporting events; Start Date: 11/15/2017; 60 hrs per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 2018-01-17 |
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