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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2016-12-27
  • NC RA
    APPROVED
    Since 2016-12-27

Branch Locations

140 N Mckinley St, Coats, NC 27521 • United States

4141 Parklake Ave Ste 450, Raleigh, NC 27612 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Co Coats NC 08/2016 Present
Principal Securities Inc Coats NC 08/2016 Present
Mid Atlantic Executive Benefits Coats NC 04/2017 Present
Pope Financial Services Coats NC 06/2020 Present
Hunter & See Wealth Management Raleigh NC 07/2021 Present
  • 08/2016 → Present
    Principal Life Insurance Co
    Coats, NC
  • 08/2016 → Present
    Coats, NC
  • 04/2017 → Present
    Mid Atlantic Executive Benefits
    Coats, NC
  • 06/2020 → Present
    Pope Financial Services
    Coats, NC
  • 07/2021 → Present
    Hunter & See Wealth Management
    Raleigh, NC
Other Businesses

**Fixed Insurance, Annuities, Life, LTC, 02/13/17. **Officiating, Athletic officiating within greater Raleigh area, 02/13/17. **Fixed Insurance; Investment Related; Raleigh, NC; Broker; Group Benefits; Start Date: 03/12/2019; 5 hrs per month; 2 during trading hours. **BETHLEHEM BAPTIST CHURCH POSITION: Finance Committee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2023 ADDRESS: 8400 Poole Rd, Knightdale NC 27545, United States DESCRIPTION: The finance committee of Bethlehem Baptist Church creates the budget for the church each fiscal year. The committee reviews all expenditure requests over $200 and approves the same provided there are funds to pay for them. The finance committee also communicates the financial situation of the church to its members. **COATS AREA CHAMBER OF COMMERCE POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 140 N. McKinley St, Coats NC 27521, United States DESCRIPTION: The treasurer of the Coats Area Chamber of Commerce is responsible for assisting the director with bookkeeping for the chamber as well as reporting the financial statements at the board of director's meeting each year. **FIXED INSURANCE POSITION: Annuities, Life, LTC, Disability NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/07/2023 ADDRESS: 140 N. McKinley St, Coats NC 27521, United States DESCRIPTION: Selling outside life insurance, fixed annuities, LTC, disability insurance. **HUNTER & SEE WEALTH MANAGEMENT (DBA) POSITION: Associate NATURE: Financial Strategies/Needs Analysis; Life Insurance/Annuities/ Mutual Funds/Securities/VA/VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2021 ADDRESS: 4141 Parklake Ave, Ste 450, Raleigh NC 27612, United States DESCRIPTION: My title is Associate. I help Carey and sometimes Randy in a joint case scenario where we meet with clients together. Sometimes I will meet with their smaller clients for reviews. The products which are used can vary from case to case to include insurance solutions (life, DI, LTC); annuities (variable and fixed) as well as managed accounts, mutual funds and occasionally CDs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-30
  • S66 Uniform Combined State Law Examination
    2016-09-30
Designations

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