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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-04-14 |
| CA | RA | APPROVED | 2022-04-04 |
Branch Locations
14100 N 83Rd Ave Workplace Benefits, Peoria, AZ 85381 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Phoenix | AZ | 08/2015 | 02/2022 |
| Princor Financial Services | Phoenix | AZ | 08/2015 | 02/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 02/2022 | Present |
I*3650302 Entity Type: Fiduciary role Name of OBA: Newcomb 5 Family Trust Address: Glendale, Arizona, 85308 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 03/01/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Co-Trustee/Child/Grandchild, Spouse I*3988266 Entity Type: Fiduciary role Name of OBA: The Newcomb Family Trust Address: Glendale, Arizona, 85308 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 03/02/2015 Number of Hours: 2, Yearly Number of Hours during trading: 0 Duties: Successor Trustee/ Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-26 |
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