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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2023-09-20
  • NE RA
    APPROVED
    Since 2023-09-20

Branch Locations

1105 S 13Th St Ste 205, Norfolk, NE 68701 • 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
Thrivent Investment Management Inc Norfolk NE 11/2013 Present
Thrivent Financial For Lutherans Appleton WI 03/2014 Present
Principal Life Insurance Company Norfolk NE 08/2023 Present
Principal Securities, Inc. Norfolk NE 08/2023 Present
Previous Registrations
Other Businesses

**FIXED INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 20 START DATE: 09/28/2023 ADDRESS: 1105 S 13th Street, Suite #205, NORFOLK NE 68701, United States DESCRIPTION: Fixed insurance: Life, Disability, Annuities, Long Term Care, Health, Medicare Supplements, Group Benefits **BSA SCOUTS OF AMERICA TROOP #1119 POSITION: Charter Representative NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1105 S 13th Street, Suite #205, NORFOLK NE 68701, United States DESCRIPTION: I am the charter representative for this troop through the Lions Club of Norfolk. In this capacity I provide guidance to the troop regarding youth activity, skills and direction. I advise the adult committee on matters pertaining to the rules and regulations set down by the BSA. I also approve all other leaderships positions in the troop, adult and youth. **NORFOLK NEBRASKA CITY COUNCIL POSITION: City Councilman NATURE: Elected Official INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 12/02/2024 ADDRESS: 309 N 5th Street, Norfolk NE 68701, United States DESCRIPTION: I have been elected to be a city councilman for the city of Norfolk, NE. I will be voting on relevant issues and matters that come before the city council.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-06
S63 Uniform Securities Agent State Law Examination 2013-12-18
  • S65 Uniform Investment Adviser Law Examination
    2023-05-06
  • S63 Uniform Securities Agent State Law Examination
    2013-12-18

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