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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Ins.AGency Inc | Amherst | NY | 05/1984 | 10/2024 |
| Guardian Life Insurance Company | Amherst | NY | 05/2007 | 11/2016 |
| Cambridge Investment Research, Inc | Fairfield | IA | 07/2011 | 11/2016 |
| Cadaret, Grant & Co., Inc. | Amherst | NY | 11/2016 | 09/2018 |
| Lpl Financial, Llc | Amherst | NY | 04/2018 | 10/2024 |
| Principal Life Insurance Co | Amherst | NY | 10/2024 | Present |
| Principal Securities Inc | Amherst | NY | 10/2024 | Present |
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2024 ADDRESS: 90 Bryant Woods South, Amherst NY 14228, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **VILLA MARIA COLLEGE POSITION: Trustee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1800 ADDRESS: 240 Pine Ridge Road, Cheektowaga NY 14225, United States DESCRIPTION: Trustee. Attend 4 board meetings a year. **PROPERTY AND CASUALTYINSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 11/01/2024 ADDRESS: 90 Bryant Woods South, Amherst NY 14228, United States DESCRIPTION: Personal and Commercial Property and Casualty Sales.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-11-17 |
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