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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2023-12-04 |
| IA | RA | APPROVED | 2023-11-27 |
| TX | RA | APPROVED | 2023-11-27 |
Branch Locations
Sergeant Bluff, IA • United States
350 Oak Tree Lane Suite 150, Dakota Dunes, SD 57049 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Sioux City | IA | 06/2008 | 01/2019 |
| Princor Financial Services Corp | Sioux City | IA | 06/2008 | 01/2019 |
| Pruco Securities, Llc. | Omaha | NE | 01/2019 | 11/2023 |
| Prudential Insurance Company Of America | Omaha | NE | 01/2019 | 11/2023 |
| Clear Path Financial | Sioux City | IA | 01/2019 | Present |
| Osaic Wealth, Inc | Sioux City | IA | 11/2023 | Present |
1. PRINCIPAL FINANCIAL TRAILS POSITION: agent NATURE: Principal Fixed Trails INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2017 ADDRESS: 3901 Transit Ave, Sioux City IA 51054, United States DESCRIPTION: no duties/responsibilities 2. SIOUXLAND HUMANE SOCIETY POSITION: Board Member NATURE: Not For Profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2018 ADDRESS: 1015 Tri View Ave, Sioux City IA 51103, United States DESCRIPTION: Voting member of board and nominating committee that works to find new members 3. TRUSTEE FOR BRIAN JOHNSON IRR TRUST POSITION: Trustee NATURE: Acting as trustee for the IRR Trust of my dad Brian Johnson INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 4873 Bradford Lane, Sioux City IA 51106, United States DESCRIPTION: If both my parents were to pass, I would act as the trustee for the trust 4. BOULDER BANCROFT LLC POSITION: passive investor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: 117 S 25th St, Omaha NE 68131, United States DESCRIPTION: no duties, only passive investing 5. EAGLE CREEK AND LANGSTON LOGE LLC POSITION: owner/passive investor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: 117 S. 25th St, Omaha NE 68131, United States DESCRIPTION: no duties, passive investing only 6. SERGEANT BLUFF COMMUNITY FOUNDATION POSITION: Board member NATURE: 501c3 Charitable Org INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 4425 Singing Hills Blvd, STE 100, Sioux City IA 51106, United States DESCRIPTION: Helping to decide on projects using donor dollars that will improve the Sergeant Bluff community 7. STERK FINANCIAL SERVICES POSITION: partner NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 09/01/2025 ADDRESS: 350 Oak Tree Lane, #150, Dakota Dunes SD 57049, United States DESCRIPTION: participationin Sterk Financial Services mulit-generational joint venture insurance and benefit sales 8. UNITY POINT HEALTH FOUNDATION POSITION: Board Member NATURE: NonProfit/Charitable INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/02/2026 ADDRESS: 2720 Stone Park Blvd, Sioux City IA 51104, United States DESCRIPTION: Serving on the board to help find ways to support the growing hospital network in Sioux City, help families, improve research and facilities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-15 |
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