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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-04-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co. Inc | Indianapolis | IN | 08/2020 | 07/2022 |
| University Housing & Dining Administration Office | Iowa City | IA | 05/2019 | 08/2020 |
| University Housing And Dining | Iowa City | IA | 08/2018 | 05/2019 |
| Chipotle | Iowa City | IA | 08/2019 | 02/2020 |
| Denny's | Brooklyn | IA | 05/2018 | 08/2018 |
| University Housing And Dining | Iowa City | IA | 02/2018 | 05/2018 |
| Simpson College | Indianola | IA | 09/2017 | 10/2017 |
| Denny's | Brooklyn | IA | 05/2017 | 08/2017 |
| Diary King | Montezuma | IA | 05/2014 | 06/2017 |
| Unemployed | Indianola | IA | 10/2017 | 02/2018 |
| Charles Schwab Bank Ssb | West Des Moines | IA | 07/2022 | 03/2024 |
| Principal Funds Distributor, Inc | Des Moines | IA | 03/2024 | Present |
| Charles Schwab & Co. Inc | West Des Moines | IA | 07/2022 | 03/2024 |
| Principal Asset Management | Des Moines | IA | 04/2024 | Present |
| Principal Securities, Inc | Des Moines | IA | 11/2024 | Present |
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2021-07-07 |
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