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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-05-24 |
| NC | RA | APPROVED | 2024-05-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Carolinas Animal Hospital | Charlotte | NC | 09/2014 | 09/2018 |
| Wofford College | Spartanburg | SC | 09/2016 | 05/2020 |
| Cardinal Financial | Charlotte | NC | 05/2020 | 08/2022 |
| Unemployed | Charlotte | NC | 08/2022 | 11/2022 |
| Associate Staffing | Charlotte | NC | 11/2022 | 02/2023 |
| Principal Securities | Charlotte | NC | 01/2023 | Present |
| Principal Life Insurance | Charlotte | NC | 11/2022 | Present |
| Principal Advised Services | Charlotte | NC | 05/2024 | Present |
PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/23/2024 ADDRESS: Proximity Park, 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2023-02-24 |
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