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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-07-31 |
| NC | RA | APPROVED | 2025-07-31 |
Branch Locations
401 Mccullough Dr Ste 210, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Florida Financial Advisors Dba Tristate Financial Advisors | Charlotte | NC | 09/2024 | 01/2025 |
| Shiki Sushi And Hibachi | Chesapeake | VA | 03/2019 | 09/2024 |
| Hickory Middle/High School | Chesapeake | VA | 09/2014 | 03/2019 |
| Qc Pour House | Charlotte | NC | 02/2025 | Present |
| Associate Staffing | Charlotte | NC | 04/2025 | 07/2025 |
| Principal Securities, Inc. | Charlotte | NC | 04/2025 | Present |
| Principal Life Insurance Company | Charlotte | NC | 07/2025 | Present |
| Principal Advised Services | Charlotte | NC | 07/2025 | Present |
**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/28/2025 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. **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: 07/28/2025 ADDRESS: 401 McCullough Dr, Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. **QC POUR HOUSE POSITION: Cook NATURE: Cook INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2025 ADDRESS: 200 W Tremont Ave #101, Charlotte NC 28203, United States DESCRIPTION: Cook for QC Pourhouse.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-07-12 |
| S65 | Uniform Investment Adviser Law Examination | 2024-08-13 |
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