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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-08 |
| IA | RA | APPROVED | 2013-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Des Moines | IA | 02/2006 | Present |
| Smith Frieberg Financial/Smith Frieberg | Des Moines | IA | 12/2019 | 01/2025 |
| Principal Securities Inc | Des Moines | IA | 03/2016 | Present |
| Smith + Co Financial | Des Moines | IA | 01/2025 | Present |
**One Iowa; Not Investment Related; Des Moines, IA; Board Member; General LGBT Advocacy; Start Date: 03/01/2011; 1 hrs per month; 1 during trading hours. **4021 Properties LLC; Not Investment Related; Des Moines, IA; Owner; LLC that owns office building and rental property; Start Date: 09/01/2018; 3 hrs per month; 3 during trading hours. **2600 PROPERTIES LLC POSITION: 2600 Properties LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2023 ADDRESS: 4916 Harwood Dr, Des Moines IA 50312, United States DESCRIPTION: This is the same as the 4021 Properties OBA. We bought another rental and are transferring title over to the new LLC for separation. I will charge a rent but we will not profit, actually have losses. It's more of a charity purchase for a family from Sudan we assist. **INSURANCE POSITION: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2009 ADDRESS: 4019 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: Life, Disability, Annuities, Long Term Care, Health, Medicare Supplements, Group Benefits. **SMITH FAMILY FINANCIAL LLC POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 04/24/2014 ADDRESS: 4019 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: This LLC handles operations of my practice. My staff is paid from SFF, SFF pays rent for our office, SFF also pays our accounts payable. The intend is only, and has only, been to reduce personal liability. **SMITH + CO FINANCIAL (DBA) POSITION: President NATURE: Business consulting, DI insurance, Health insurance, financial strategies and needs analysis, Group insurance, life insurance - fixed and variable, annuities - fixed and variable, mutual funds, securities, seminars and workshops, long term care and PPN solutions. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/06/2025 ADDRESS: 4019 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: DBA Marketing name.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-22 |
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