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500 Sw 7Th Street Suite 204, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-11-16 |
Branch Locations
907 E Washington, Mount Pleasant, IA 52641 • United States
1004 N Lincoln St, Mount Pleasant, IA 52641 • United States
500 Sw 7Th Street Suite 204, Des Moines, IA 50309 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life | New York | NY | 07/2016 | 08/2023 |
| Nylife Securities Llc | Hiawatha | IA | 08/2016 | Present |
| Ria Advisory Group, Llc | Mount Pleasant | IA | 09/2023 | Present |
[Henry County Optimist Club; Support of local youth through fund raising projects and volunteer opportunities.; 104 S. Iris St, Mt Pleasant, IA, 52641; Start Date 07/2019; Role/Title: Board Member; Not Investment Related; 4 hours per month; 4 hours per month during securities trading hours] [Insurance brokering; Appointed with various insurance carriers with the purpose of brokering non-registered insurance products.; 1004 N Lincoln St., Mount Pleasant, IA, 52641; Start Date 09/2019; Role/Title: Insurance Broker; Investment Related; 4 hours per month; 4 hours per month during securities trading hours] [Rental Property - Vernon Street Property; Duplex for rent; 304 E Vernon St, Mount Pleasant, IA, 52641; Start Date 09/2022; Role/Title: Owner; Not Investment Related; 10 hours per month; 0 hours per month during securities trading hours; collect rent]
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2016-12-28 |
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