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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-10-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Des Moines | IA | 02/2003 | Present |
| Principal Securities Inc | Des Moines | IA | 02/2003 | Present |
| Principal Advised Services | Des Moines | IA | 10/2022 | Present |
PRINCIPAL ADVISED SERVICES POSITION: Financial Consultant NATURE: Principal Advised Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2018 ADDRESS: 5201 DAKOTA DR, WDM IA 50265-2841, 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 |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2004-06-09 |
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