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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 12/2017 | 04/2018 |
| Northwestern Mutual Investment Services Llc | Davenport | IA | 01/2018 | 04/2018 |
| Isle Of Capri Casino | Bettendorf | IA | 12/2010 | 08/2019 |
| Caesars Entertainment | Bettendorf | IA | 08/2019 | 12/2021 |
| Caesars Entertainment | Altoona | IA | 12/2021 | 08/2022 |
| Principal Life Insurance | Des Moines | IA | 08/2022 | Present |
| Principal Securities, Inc. | Des Moines | IA | 09/2022 | Present |
| Principal Advised Services | Des Moines | IA | 04/2024 | Present |
PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/12/2022 ADDRESS: Des Moines 711 High St, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2022-10-22 |
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