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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-01-21 |
Branch Locations
107 Kilson Dr Ste 102, Mooresville, NC 28117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mthree Consulting | Hoboken | NJ | 08/2021 | 12/2022 |
| American Express | New York | NY | 12/2022 | 10/2024 |
| Principal Life Insurance Co | Mooresville | NC | 10/2024 | Present |
| Principal Securities Inc | Mooresville | NC | 11/2024 | Present |
| University Of North Carolina At Charlotte | Charlotte | NC | 08/2017 | 05/2021 |
| Dunkin Donuts | Davidson | NC | 05/2016 | 11/2016 |
| North Harbor Club | Davidson | NC | 02/2017 | 06/2017 |
| Lake Norman High School | Mooresville | NC | 08/2014 | 05/2017 |
| Smith Financial Corp. | Mooresville | NC | 02/2025 | Present |
SMITH FINANCIAL CORP. (DBA) POSITION: Advisor NATURE: DI/A&H Insurance, Group/Health Insurance, Life Insurance/Annuities, Mutual Funds/Securities/ VA / VL, Securities Products INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 107 Kilson Dr. Suite 102, Mooresville NC 28117, United States DESCRIPTION: sales and service of securities and fixed products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-01-18 |
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