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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-08-12 |
| NC | RA | APPROVED | 2024-08-12 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Doordash | San Francisco | CA | 10/2021 | 10/2021 |
| Wingate University | Wingate | NC | 08/2016 | 05/2021 |
| Jolly Rolls | Pineville | NC | 07/2018 | 08/2019 |
| Summit | Charlotte | NC | 05/2020 | 06/2020 |
| Lyft | San Francisco | CA | 07/2019 | 08/2020 |
| Uber | San Francisco | CA | 08/2019 | 12/2021 |
| Associate Staffing | Charlotte | NC | 12/2021 | 08/2023 |
| Principal Securities, Inc. | Charlotte | NC | 01/2022 | Present |
| Principal Life Insurance | Charlotte | NC | 08/2023 | Present |
| Principal Advised Services | Charlotte | NC | 06/2024 | Present |
PRINCIPAL ADVISED SERVICES POSITION: Principal Advised Services NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, 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. PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/15/2022 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2022-03-04 |
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