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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2018-02-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Greensboro | NC | 02/2016 | 12/2016 |
| Principal Securities, Inc. | Waxhaw | NC | 02/2017 | Present |
| Principal Life Insurance Company | Waxhaw | NC | 02/2017 | 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: 02/22/2022 ADDRESS: 11215 N. Community House Rd Suite 725, Charlotte NC 28277, 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. **AMAZON FLEX DRIVER POSITION: Amazon Flex Driver NATURE: Amazon Flex Driver INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2025 ADDRESS: 805 Landau Rd, Waxhaw NC 28173, United States DESCRIPTION: This side activity is through Amazon Flex and I would be delivering packages as a block that I have the flexibility to choose. I would do this once per weekend for about 3 hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-07 |
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