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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2023-12-14
  • SD RA
    APPROVED
    Since 2023-12-14

Branch Locations

4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108 • 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
Mutual Of Omaha Omaha NE 05/2016 07/2019
Mutual Of Omaha Sioux Falls SD 08/2019 06/2022
Thrivent Investment Management Inc Minneapolis MN 08/2022 12/2023
Thrivent Financial Appleton WI 08/2022 12/2023
Principal Securities Inc Sioux Falls SD 12/2023 Present
Principal Life Insurance Company Sioux Falls SD 12/2023 Present
  • 05/2016 → 07/2019
    Mutual Of Omaha
    Omaha, NE
  • 08/2019 → 06/2022
    Mutual Of Omaha
    Sioux Falls, SD
  • 08/2022 → 12/2023
    Minneapolis, MN
  • 08/2022 → 12/2023
    Thrivent Financial
    Appleton, WI
  • 12/2023 → Present
    Sioux Falls, SD
  • 12/2023 → Present
    Principal Life Insurance Company
    Sioux Falls, SD
Previous Registrations
Other Businesses

**OUTSIDE INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/04/2023 ADDRESS: 4910 S Isabel Pl, Ste 100, Sioux Falls SD 57108, United States DESCRIPTION: Writing outside Life, DI, LTC and Annuities. Group and Individual Health, Life, DI, Dental and Medical. **PARTY BIKE SIOUX FALLS POSITION: Pedal Pub Operator NATURE: Pedal Pub Operator INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 110 S Reid St, Sioux Falls SD 57103, United States DESCRIPTION: I operate the pedal pub for tours throughout the downtown Sioux Falls area. They are 2 hours in length. I am paid a flat rate per tour, and tips. The owner is a friend, and when he needs help and my schedule allows, I will take on these tours as needed. **REGATTA 55 I, LLC POSITION: Real Estate NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/08/2021 ADDRESS: 8681 N Beach, Fort Worth TX 76244, United States DESCRIPTION: I invested in a 55 and older retirement community (Private Placement). The amount of the investment was $15,000 (3 equity shares). Upon the sale of the building, I will potentially receive money back from the entity if the sales price exceeds building costs and initial setup fees.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-12
S63 Uniform Securities Agent State Law Examination 2020-06-26
  • S66 Uniform Combined State Law Examination
    2022-09-12
  • S63 Uniform Securities Agent State Law Examination
    2020-06-26

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