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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2023-09-19 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
Amherst, NH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nfp Advisor Services, Llc | Austin | TX | 05/2015 | 04/2017 |
| Nfp Retirement | Aliso Viejo | CA | 05/2015 | 04/2017 |
| Principal Life Insurance Company | Amherst | NH | 04/2017 | Present |
| Principal Securities, Inc. | Amherst | NH | 05/2017 | Present |
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/02/2022 ADDRESS: 31 Buckridge Drive, Amherst NH 03031, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-18 |
| S66 | Uniform Combined State Law Examination | 2007-02-26 |
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