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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-05-07 |
| NC | RA | APPROVED | 2020-09-30 |
Branch Locations
4141 Parklake Ave Ste 450, Raleigh, NC 27612 • United States
Wake Forest, NC • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Raleigh | NC | 02/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 11/2016 | 09/2020 |
| Principal Life Insurance Company | Raleigh | NC | 09/2020 | Present |
| Principal Securities Inc | Raleigh | NC | 09/2020 | Present |
***Fixed Insurance; Investment Related; Raleigh, NC; Agent; Life, Annuities, DI, LTC, Health, Group Benefits; Start Date: 09/16/2020; 10 hrs per month; 3 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-05 |
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