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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-10-14 |
| NC | RA | APPROVED | 2024-10-14 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| On Deck Baseball Academy | Charlotte | NC | 06/2023 | 08/2023 |
| Jupiter High School | Jupiter | FL | 08/2014 | 08/2018 |
| Wingate University | Wingate | NC | 08/2018 | 05/2024 |
| Unemployed | Indian Trail | NC | 05/2024 | 07/2024 |
| Wingate Baseball Llc | Wingate | NC | 06/2023 | 06/2023 |
| Associate Staffing | Charlotte | NC | 07/2024 | Present |
| Principal Securities, Inc. | Charlotte | NC | 07/2024 | Present |
| Wingate University | Wingate | NC | 11/2021 | 05/2024 |
| Principal Advised Services | Charlotte | NC | 10/2024 | Present |
**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: 10/14/2024 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: 160 START DATE: 10/14/2024 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. CHARLOTTE-MECKLENBURG SCHOOLS POSITION: Assistant Baseball Coach NATURE: Baseball Coach INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 02/19/2026 ADDRESS: 1810 Matthews-Mint Hill Rd, Matthews NC 28105, United States DESCRIPTION: Assistant Baseball Coach. Support role in developing players, running practices, and helping head coach manage the team. Responsibilities include player supervision, player mentorship, game and practice preparation. No customers are being served through this OBA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-01 |
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