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Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2025-07-31
NC RA APPROVED 2025-07-31
  • IA RA
    APPROVED
    Since 2025-07-31
  • NC RA
    APPROVED
    Since 2025-07-31

Branch Locations

401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Fort Mill SC 08/2023 01/2025
East Carolina Greenville NC 08/2018 01/2023
Bojangles Winston Salem NC 01/2015 05/2018
Unemployed N/A XX 01/2023 07/2023
Unemployed N/A XX 06/2018 07/2018
Principal Securities, Inc. Charlotte NC 04/2025 Present
Associate Staffing Charlotte NC 04/2025 07/2025
Principal Life Insurance Company Charlotte NC 07/2025 Present
Principal Advised Services Charlotte NC 07/2025 Present
  • 08/2023 → 01/2025
    Lpl Financial
    Fort Mill, SC
  • 08/2018 → 01/2023
    East Carolina
    Greenville, NC
  • 01/2015 → 05/2018
    Bojangles
    Winston Salem, NC
  • 01/2023 → 07/2023
    Unemployed
    N/A, XX
  • 06/2018 → 07/2018
    Unemployed
    N/A, XX
  • 04/2025 → Present
    Principal Securities, Inc.
    Charlotte, NC
  • 04/2025 → 07/2025
    Associate Staffing
    Charlotte, NC
  • 07/2025 → Present
    Principal Life Insurance Company
    Charlotte, NC
  • 07/2025 → Present
    Charlotte, NC
Other Businesses

**PRINCIPAL BANK POSITION: Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/21/2025 ADDRESS: 401 McCullough Dr., charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. **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: 07/21/2025 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-07
  • S66 Uniform Combined State Law Examination
    2025-07-07

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