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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2020-04-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Central Financial Group | Algona | IA | 06/2009 | Present |
| Ameritas Investment Corp | Lincoln | NE | 11/2009 | 01/2017 |
| Sii | Algona | IA | 01/2017 | 11/2018 |
| Royal Alliance Associates, Inc. | Algona | IA | 11/2018 | Present |
1. CENTRAL FINANCIAL GROUP POSITION: Registered Assistant NATURE: Agency - Sells fixed insurance products, health, disability through agents. INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/01/2009; ADDRESS: 111 E Call St, Algona IA 50511, United States; DESCRIPTION: Assist agents/advisers with preparing for meetings and completing/processing paperwork. 2. CENTRAL FINANCIAL GROUP POSITION: Registered Assistant/Supervising Principal NATURE: LLC & Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2009 ADDRESS: 111 E Call St, Algona IA 50511, United States DESCRIPTION: Assist agents/advisers with preparing for meetings and completing/processing paperwork. Perform the FLS duties for our firm. 3) RENTAL PROPERTY - BANCROFT POSITION: Silent Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 201 S. Summit St., Bancroft IA 50517, United States DESCRIPTION: My husband is 50% owner of this LLC so I will monetarily benefit from the rents received.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-01 |
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