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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-06-14 |
| IA | RA | APPROVED | 2023-09-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | West Des Moines | IA | 12/2022 | Present |
| Principal Securities Inc | West Des Moines | IA | 12/2022 | Present |
| American Home Shield | Carroll | IA | 05/2020 | 12/2022 |
| Penn Communication | Carroll | IA | 01/2016 | 08/2019 |
| Student | Ames | IA | 07/2018 | 05/2022 |
| Student | Carroll | IA | 08/2007 | 05/2018 |
**FIXED INSURANCE POSITION: Registered Rep NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/16/2023 ADDRESS: 223 W 5th Street, Carroll IA 51401, United States DESCRIPTION: Fixed Insurance; Life, Disability, Annuities, LTC, Health, Medicare Supplements, Group Benefits. **KTM ROCKS LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 473 Deer Creek Lane, Carroll IA 51401, United States DESCRIPTION: Band; LLC used for overhead expenses & banking. Ownership structure: Kyler Brinker, Miles Mallard, Ted Ramaekers own equal percentages.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 2023-07-03 |
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