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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2026-04-01 |
| TX | RA | APPROVED | 2026-04-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 11/2010 | 01/2026 |
| Principal Life Insurance Company | Savannah | MO | 03/2026 | Present |
| Principal Securities, Inc. | Savannah | MO | 03/2026 | Present |
| Rock Wealth Planning, Llc | Savannah | MO | 08/2026 | Present |
ROCK WEALTH PLANNING, LLC (DBA) POSITION: Owner/ RR & IAR NATURE: DI/A&H Insurance, Fee-based Financial Planning, Financial Strategies/Needs Analysis, Life Insurance/Annuities, Mutual Funds/Securities/ VA / VL Seminars/Educational Workshops INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 7 START DATE: 08/03/2026 ADDRESS: 10928 County Road 369, Savannah MO 64485, United States DESCRIPTION: I would like to create a sole proprietor LLC for my financial services business. All of the usual daily roles conducted through PSI would continue under the DBA - Rock Wealth Planning, LLC. I would continue to offer securities and insurance products to clients including stocks, bonds, cd's, mutual funds, ETF's, Variable Annuities, Fixed Annuities, and certain LTC products. I will also continue engaging clients in understanding their goals and needs and comfort with risk.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-30 |
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