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6400 C Street Sw, Cedar Rapids, IA 52499 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2019-10-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nations Financial Group, Inc. | Cedar Rapids | IA | 08/2016 | 12/2017 |
| Robert W Baird & Co., Incorporated | Cedar Rapids | IA | 01/2018 | 10/2018 |
| Nations Financial Group, Inc. | Cedar Rapids | IA | 10/2018 | 09/2019 |
| Transamerica Life Insurance Company | Cedar Rapids | IA | 10/2019 | Present |
| Transamerica Investors Securities Corporation | Cedar Rapids | IA | 10/2019 | Present |
29TH AVE BAKERY LLC. 1705 29TH AVE. MARION , IA 52302. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS BAKERY. POSITION IS OWNER OPERATOR. STARTED JANUARY, 2010. APPROX 2 HRS/MONTH ON BUSINESS, NONE DURING SECURITY TRADING HRS. DUTIES ARE MARKETING, ACCOUNTING, INVENTORY CONTROL, BAKING.// Winchester Farms, Inc. 2545 Orchard St. Waterloo, IA 50702. Not Investment related. Nature of business is land development. Position is 20% ownership with 4 brothers. Started January, 1975. Approx 1 HR/year on business, none during trading hours. Passive investor.//
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-23 |
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