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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2024-01-22 |
| TX | RA | APPROVED_RES | 2024-01-22 |
Branch Locations
3500 Blue Lake Dr Ste 280, Birmingham, AL 35243 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bbva Securities Inc. | Birmingham | AL | 02/2016 | 03/2017 |
| Compass Bank | Birmingham | AL | 10/2014 | 03/2017 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 09/2015 | 03/2017 |
| Principal Life Insurance Company | Birmingham | AL | 05/2017 | Present |
| Principal Securities Inc | Birmingham | AL | 05/2017 | Present |
| Jdr Financial | Birmingham | AL | 08/2021 | Present |
| Capstone Financial Group | Birmingham | AL | 09/2025 | Present |
**C.A.R.E. Accounting; Not Investment Related; 1221 Bessmer Road, Birmingham, AL 35226; Tax Preparer; Helping out family business during tax season. Tax prep & Clerical work; Start Date: 03/10/2018; 4 hrs per month; 0 during trading hours. **Fixed Insurance; Investment Related; 3500 Blue Lake Drive, Suite 280, Birmingham, AL 35243; Agent; Life, Annuities, Health, Med Supplements, LTC, DI; Start Date: 04/13/2018; 5 hrs per month; 2 during trading hours. **RUFFIN REALTY GROUP POSITION: owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 11/28/2023 ADDRESS: 1747 Dixon Circle, Mount Olive AL 35117, United States DESCRIPTION: I own some land on the west side of Birmingham, AL. I will be building a duplex and renting this out for rental income. **CAPSTONE FINANCIAL GROUP (DBA) POSITION: Financial Advisor NATURE: Mutual Funds/Securities, Seminars/Educational Workshops, Life Insurance/Annuities. Fee based Financial Planning. Financial Strategies/Need base analysis. Group Health Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/05/2025 ADDRESS: 3500 Blue Lake Drive, suite, Birmingham AL 35243, United States DESCRIPTION: Title would be a Financial Advisor on a team with other advisors doing the same job and responsibilities I always have had.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-19 |
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