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10876 S River Front Pkwy Suite 600, South Jordan, UT 84095 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-02-15 |
Branch Locations
1230 W Ash Street Suite C, Windsor, CO 80550 • United States
10876 S River Front Pkwy Suite 600, South Jordan, UT 84095 • 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 Life Insurance | Des Moines | IA | 07/1998 | Present |
| Questar Capital Corporation | Minneapolis | MN | 01/2001 | 12/2018 |
| Dfpg Investments, Inc | Sandy | UT | 12/2018 | Present |
1) FINANCIAL FOUNDATIONS INSURANCE & INVESTMENTS LLC; POSITION: Insurance Agent NATURE: Sales and service.; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 160-200; SECURITIES TRADING HOURS: 10; START DATE: 09/01/1997; ADDRESS: 501 MAINE STREET STE B WINDSOR CO 80550; DESCRIPTION: Fixed annuities, disability, health, life and LTC. 2) Rocky Mountain Wealth Advisors; DBA Name for Marking Purposes; Partner. Investment Related; Yes. Windsor, Colorado. Hours: 160. Start Date: 8/1/2024. Investment management ad advisory services for Clients including BD transactional business and fee based advisory business as an IAR through the Diversify RIA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-27 |
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