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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-03
NC RA APPROVED 2020-01-16
  • TX RA
    APPROVED_RES
    Since 2021-06-03
  • NC RA
    APPROVED
    Since 2020-01-16

Branch Locations

2990 Bethesda Pl Ste 601A, Winston Salem, NC 27103 • 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
Home Depot Winston-Salem NC 01/1995 08/2017
Parsonex Advisory Services Englewood CO 08/2016 10/2019
Principal Life Insurance Company Winston Salem NC 10/2019 Present
Principal Securities Inc Winston Salem NC 10/2019 Present
  • 01/1995 → 08/2017
    Home Depot
    Winston-Salem, NC
  • 08/2016 → 10/2019
    Parsonex Advisory Services
    Englewood, CO
  • 10/2019 → Present
    Principal Life Insurance Company
    Winston Salem, NC
  • 10/2019 → Present
    Winston Salem, NC
Previous Registrations
Other Businesses

***Fixed Insurance; Investment Related; Winston-Salem, NC; Agent; Fixed Life, Annuities, DI, LTC, Health, Group; Start Date: 04/30/2021; 40 hrs per month; 40 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-11-13
S65 Uniform Investment Adviser Law Examination 2016-08-29
  • S63 Uniform Securities Agent State Law Examination
    2019-11-13
  • S65 Uniform Investment Adviser Law Examination
    2016-08-29

View on SEC IAPD

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