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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-10 |
| NC | RA | APPROVED | 2022-01-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Proequities Inc | New Bern | NC | 04/2015 | 01/2022 |
| Bankers Life | New Bern | NC | 04/2003 | 01/2022 |
| Bankers Life Securities, Inc. | Chicago | IL | 05/2016 | 01/2022 |
| Principal Life Insurance Company | New Bern | NC | 01/2022 | Present |
| Principal Securities, Inc. | New Bern | NC | 01/2022 | Present |
| Sound Investments And Wealth Management | New Bern | NC | 01/2022 | Present |
OUTSIDE INSURANCE POSITION: agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/21/2022 ADDRESS: 1408 Neuse Blvd, Suite B, New Bern NC 28562, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, P&C, health, Med Supp, and group benefits. THE WANNABEES POSITION: guitar player/singer NATURE: singer in a band INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 5122 meadowbrooke drive, Trent Woods NC 28562, United States DESCRIPTION: classic rock band done for fun and small compensation
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-06 |
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