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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-08 |
| OK | RA | APPROVED | 2016-12-06 |
Branch Locations
2524 N Broadway Ste 339, Edmond, OK 73034 • United States
Guthrie, OK • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Edmond | OK | 06/2015 | Present |
| Principal Securities Inc | Edmond | OK | 03/2016 | Present |
**Fixed Insurance; Health, Life, DI, Vision, Dental, LTC; 03/09/17. **SRM FINANCIAL SERVICES POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 560 Wye Trak, Guthrie OK 73044, United States DESCRIPTION: This was formed so I can pay expenses related to the business right now. The future use would be to accept payments for any buyout or purchase of my book at retirement. No business will be solicited or done using this LLC nor will it be referred to in any communications, website or mailings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-14 |
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