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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-08-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | West Des Moines | IA | 07/2014 | 01/2023 |
| Wells Fargo Clearing Services, Llc | West Des Moines | IA | 03/2019 | 07/2021 |
| Principal Life Insurance Company | Des Moines | IA | 01/2023 | Present |
| Principal Securities Inc | Des Moines | IA | 02/2023 | Present |
| Principal Advised Services | W Des Moines | IA | 07/2024 | Present |
PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/09/2024 ADDRESS: 711 High St, Des Moines IA 50392, 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 | 2019-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2019-08-09 |
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