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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2024-06-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Questar Capital Corporation | Minneapolis | MN | 09/2014 | 12/2018 |
| Questar Asset Management | Minneapolis | MN | 10/2014 | 12/2018 |
| Cetera Advisors Llc | Denver | CO | 12/2018 | 06/2024 |
| Bridge Financial | Omaha | NE | 10/2014 | 06/2024 |
| Concentrix Cvg Customer Management Group Inc. | Fremont | CA | 09/2022 | 12/2022 |
| Humbi Roots | Council Bluffs | IA | 03/2024 | 06/2024 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | 06/2024 |
| Principal Life Insurance Co | Omaha | NE | 06/2024 | Present |
| Principal Securities | Omaha | NE | 06/2024 | Present |
| Bridge Financial | Omaha | NE | 06/2024 | Present |
**FIXED INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/16/2024 ADDRESS: 11205 Wright Circle, Suite 130, Omaha NE 68144, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long-Term Care, Health, Medicare Supplements, Group Benefits. **HUMBL ROOTS POSITION: Kitchen Staff NATURE: Kitchen staff for Pasta Sauce Company INVESTMENT RELATED: No NUMBER OF HOURS: 36 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 1001 S 6th St., Council Bluffs IA 51503, United States DESCRIPTION: Kitchen staff, produce carrot-based pasta sauce in a commercial kitchen. This is non-investment related. **CONNECT OMAHA NETWORKING GROUP POSITION: Secretary NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 01/01/2026 ADDRESS: 1228 Park Wild Ave, Omaha NE 68108, United States DESCRIPTION: I have been elected to the Secretary position for this networking group. My duties include keeping attendance records each meeting and reminding members when they fall short of our 60% attendance requirement. There are no dues and I have no duties involving the handling of money or securities. It is not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-10-01 |
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