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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-30 |
| MI | RA | APPROVED | 2018-09-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mwa Financial Services Inc. | Rock Island | IL | 01/2011 | 05/2018 |
| Modern Woodmen Of America | Rock Island | IL | 01/2010 | 05/2018 |
| Principal Life Insurance Company | Kalamazoo | MI | 05/2018 | Present |
| Principal Securities Inc | Kalamazoo | MI | 05/2018 | Present |
***Outside Insurance; Investment Related; Kalamazoo, MI; Agent; Sell fixed life, annuities, group, health, DI, LTC; Start Date: 06/01/2019; 3 hrs per month; 1 during trading hours.***Pearcy & Associates, LLC; Not Investment Related; Kalamazoo, MI; Owner; LLC established to own office space. LLC received rental income.; Start Date: 07/26/2016; 3 hrs per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 2011-03-25 |
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