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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-02-06 |
| NC | RA | APPROVED | 2025-02-06 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lazo Wellness & Chiropractic, Pllc | Huntersville | NC | 06/2007 | 07/2018 |
| New York Life Insurance Company | Charlotte | NC | 07/2018 | 01/2023 |
| Nylife Securities, Llc | Charlotte | NC | 08/2018 | 01/2023 |
| Eagle Strategies Llc | Charlotte | NC | 01/2022 | 01/2023 |
| Modern Woodmen Of America | Rock Island | IL | 01/2023 | 01/2025 |
| Mwa Financial Services Inc | Rock Island | IL | 01/2023 | 01/2025 |
| Principal Life Insurance Company | Charlotte | NC | 01/2025 | Present |
| Principal Securities, Inc. | Charlotte | NC | 01/2025 | Present |
| Principal Advised Services | Charlotte | NC | 01/2025 | Present |
**PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/06/2025 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. **MANY PAWS, 501(C)(3) POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/06/2025 ADDRESS: 1233 S Belvedere Ave, Gastonia NC 28054, United States DESCRIPTION: This is a non-profit organization on a mission to provide a safe, loving, and enriching home where abandoned older dogs with or without special medical needs can live out the remainder of their lives receiving individualized care, medical support, and emotional connection. My role as a Board Member is to attend meetings, participate in fundraising events, provide suggestions and guidance to uphold the organization's mission statement, and vote on decisions in the best interest of the organization and its mission. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: Trustee/POA/Executor/Beneficiary INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/06/2025 ADDRESS: 401 McCullough Dr, Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2018-12-05 |
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