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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 01/2026 | 07/2026 |
| Carruth Cellars Winery | Carlsbad | CA | 11/2022 | 08/2026 |
| Financial Industry Regulatory Authority | Los Angeles | CA | 03/2012 | 09/2025 |
| Principal Life Insurance Company | Carlsbad | CA | 08/2026 | Present |
| Principal Securities, Inc. | Carlsbad | CA | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-16 |
| S65 | Uniform Investment Adviser Law Examination | 2009-02-09 |
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