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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-06-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | El Paso | TX | 02/2014 | Present |
| Graham Capital Strategies Llc | El Paso | TX | 01/2015 | 04/2019 |
| Ethos Financial | El Paso | TX | 04/2019 | Present |
| Principal Securities Inc | El Paso | TX | 03/2016 | Present |
**OUTSIDE INSURANCE, HEALTH, 01/13/15. ***Fixed Insurance, Annuities, Life, DI, LTC, Group Benefits, Medical, 08/16/16. **Ethos Financial LLC; Not Investment Related; El Paso, TX; Owner; holding company for Ethos Financial (DBA), sole owner; Start Date: 02/11/2021; 3 hrs per month; 3 during trading hours. **DENTAL DEAN'S COUNCIL POSITION: Council Member NATURE: Council Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2024 ADDRESS: 5001 El Paso Drive, El Paso TX 79905, United States DESCRIPTION: The Dental Dean's Council will advocate among organizations, businesses and nonprofits to increase community engagement and build collaborations that benefit families across our Borderplex region. That connection with the community will expand partnerships allowing the Hunt School of Dental Medicine to expand its reach of service and create a dental home for underserved patients who might be uninsured.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-09 |
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