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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-17 |
| NC | RA | APPROVED | 2001-12-31 |
Branch Locations
107 Kilson Dr Ste 102, Mooresville, NC 28117 • United States
1 disclosure category 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 Securities Inc | Mooresville | NC | 03/1993 | Present |
| Principal Life Insurance Company | Mooresville | NC | 07/1998 | Present |
| Smith Financial Corporation | Mooresville | NC | 04/2008 | Present |
**OUTSIDE INSURANCE, SELLS OUTSIDE INSURANCE W/VARIOUS CARRIERS, 10/10-PRESENT, NOT INVESTMENT RELATED. **REAL ESTATE RENTAL. 04/12/2011. LESSOR OF OFFICE SPACE. **99 MORNINGSIDE LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/13/2021 ADDRESS: 107 KILSON DRIVE, SUITE 102, MOORESVILLE NC 28117, United States DESCRIPTION: 100% OWNER OF LLC THAT WILL OWN RESIDENTIAL RENTAL PROPERTIES. WILL NOT BE SOLICITING ADDITIONAL INVESTORS. **SOUTH COVE HOMEOWNERS ASSOCIATION, INC. POSITION: BOARD MEMBER AT LARGE NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2025 ADDRESS: 86 South Cove Place, Pawleys Island SC 29585, United States DESCRIPTION: Board Member at Large for South Cove Homeowners' Association, where board members conduct matters relating to the condos at 86 South Cove Place in Pawley's Island, SC. Stepped down as President in February of 2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-25 |
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