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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Saul Management Co | Cedar Falls | IA | 08/2013 | 03/2017 |
| Principal Life Insurance Company | Des Moines | IA | 03/2017 | Present |
| Principal Securities, Inc. | Des Moines | IA | 03/2017 | Present |
| Principal Advised Services | Ankeny | IA | 04/2024 | Present |
| Pipac | Cedar Rapids | IA | 08/2013 | 03/2017 |
**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: 10/08/2018 ADDRESS: 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: Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/08/2018 ADDRESS: 711 High St, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-26 |
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