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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2022-12-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Grand Island | NE | 06/2008 | 06/2017 |
| Principal Securities Inc | Grand Island | NE | 06/2008 | 12/2022 |
| Helix Financial | Grand Island | NE | 07/2012 | 06/2017 |
| Wells Fargo Clearing Services, Llc ( | Grand Island | NE | 12/2022 | Present |
ESTATE OF FATHER; INV RELATED; GRAND ISLAND, NE; PERSONAL REPRESENTATIVE; 06/2025; 6 HOURS PER MONTH; 0 DURING TRADING; LEGAL PERSONAL REPRESENTATIVE TO FOLLOW WILL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-12 |
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