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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-07 |
| OH | RA | APPROVED | 2021-05-12 |
Branch Locations
400 E Business Way Ste 125, Sharonville, OH 45241 • United States
5600 Blazer Pkwy Ste 300, Dublin, OH 43017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Cincinnati | OH | 06/2014 | 05/2021 |
| Principal Life Insurance Company | Cincinnati | OH | 05/2021 | Present |
| Principal Securities | Sharonville | OH | 05/2021 | Present |
| Lake Forest Financial Advisors | Sharonville | OH | 07/2025 | Present |
**Fixed Insurance; Investment Related; Cincinnati, OH; Agent; Life, Annuities, LTC, DI; Start Date: 05/19/2021; 15 hrs per month; 15 during trading hours. **INSURANCE / Lake Forest Financial Advisors (DBA) POSITION: Managing Partner NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 07/31/2025 ADDRESS: 400 E Business way suite 125, suite 125, Sharonville OH 45241, United States DESCRIPTION: DBA **LAKE FOREST FINANCIAL ADVISORS POSITION: Managing Partner NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/29/2026 ADDRESS: 400 E Business way suite 125, suite 125, Sharonville OH 45241, United States DESCRIPTION: DBA I will act as Managing Partner for the team and DBA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-13 |
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