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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-24 |
| SD | RA | APPROVED | 2022-04-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Belle Fourche | SD | 01/1996 | 07/2021 |
| Lpl Financial Llc | Belle Fourche | SD | 07/2021 | 03/2022 |
| Principal Life Insurance Company | Belle Fourche | SD | 03/2022 | Present |
| Principal Securities Inc | Belle Fourche | SD | 03/2022 | Present |
INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/30/2022 ADDRESS: 519 State St, Belle Fourche SD 57717, United States DESCRIPTION: Sell outside life insurance, disability income insurance, LTC, fixed annuities, Individual and group health insurance/medical. RENTAL PROPERTY POSITION: Rental Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 519 1/2 State St, Belle Fourche SD 57717, United States DESCRIPTION: This is a business that rents from me. The business is called Hitching Post in Belle Fourche. TCLG PROPERTIES POSITION: TCLG Properties NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2012 ADDRESS: 824 Park dr, Belle Fourche SD 57717, United States DESCRIPTION: This was set up to receive payroll only. There are no properties in this S corp. The name implies properties but only holds cash assets.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-03 |
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