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4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-04-05 |
Branch Locations
9245 Northpark Dr, Johnston, IA 50131 • United States
9245 Northpark Dr, Johnston, IA 50131 • United States
4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Princor Financial Services | Des Moines | IA | 05/2001 | 02/2017 |
| Principal Life Insurance Co | Des Moines | IA | 03/2006 | 12/2016 |
| Lincoln Investment | Fort Washington | PA | 02/2017 | 04/2018 |
| Heartland Retirement Group | Johnston | IA | 02/2017 | Present |
| Gradient Securities, Llc | Arden Hills | MN | 04/2018 | 12/2022 |
| Rr Financial, Inc | Urbandale | IA | 02/2018 | Present |
| Capital Analyst | Fort Washington | PA | 02/2017 | 04/2018 |
| Gladstone Wealth Partners | Johnston | IA | 12/2022 | 04/2023 |
| Brokers International Financial Services | Johnston | IA | 04/2023 | Present |
1) Heartland Retirement Group; not investment related; 9245 Northpark Dr, Johnston, IA 50131; Fixed Insurance; Insurance Agent; 12/01/2017; 100 hours per month; 60 hours during securities hours; Sales of Fixed insurance products. 2) RR Financial, INC; Not investment related; 945 NE Fox Valley CT, Waukee, IA 50263; S-Corp; Managing member; 02/01/2018; 1 hour per month; 0 hours during securities hours; S-Corp for insurnance commissions. 3) Heartland Retirement Group Wealth Management; Investment related; 9245 Northpark Dr, Johnston, IA 50131; DBA for Advisory Business; 60 hours per month; 60 hours during securities hours; Invesment management.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 1999-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-15 |
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