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Current Employers
Principal Advised Services

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-09-25
  • IA RA
    APPROVED
    Since 2024-09-25

Branch Locations

711 High St, Des Moines, IA 50392 • 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
Associate Staffing Charlotte NC 06/2024 09/2024
Principal Securities, Inc. Des Moines IA 06/2024 Present
Wellabe, Inc. Des Moines IA 06/2023 05/2024
Ladd Concession Group Llc Des Moines IA 05/2022 12/2023
Midwestone Bank Iowa City IA 09/2021 03/2023
City State Bank Norwalk IA 06/2017 08/2022
University Of Iowa Iowa City IA 08/2020 05/2024
Unemployed Norwalk IA 01/2014 06/2017
Principal Advised Services Des Moines IA 08/2024 Present
Principal Life Insurance Co Des Moines IA 09/2024 Present
  • 06/2024 → 09/2024
    Associate Staffing
    Charlotte, NC
  • 06/2024 → Present
    Principal Securities, Inc.
    Des Moines, IA
  • 06/2023 → 05/2024
    Wellabe, Inc.
    Des Moines, IA
  • 05/2022 → 12/2023
    Ladd Concession Group Llc
    Des Moines, IA
  • 09/2021 → 03/2023
    Midwestone Bank
    Iowa City, IA
  • 06/2017 → 08/2022
    City State Bank
    Norwalk, IA
  • 08/2020 → 05/2024
    University Of Iowa
    Iowa City, IA
  • 01/2014 → 06/2017
    Unemployed
    Norwalk, IA
  • 08/2024 → Present
    Des Moines, IA
  • 09/2024 → Present
    Principal Life Insurance Co
    Des Moines, IA
Other Businesses

***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: Des Moines, 711 High St, Des Moines IA 50392, 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. ***PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-23
  • S66 Uniform Combined State Law Examination
    2024-08-23
Other Names
  • Liam Buckley

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