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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-08
IA RA APPROVED 2018-03-03
  • TX RA
    APPROVED_RES
    Since 2021-03-08
  • IA RA
    APPROVED
    Since 2018-03-03

Branch Locations

6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • United States

8404 Nw 62Nd Ave, Johnston, IA 50131 • 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
Principal Life Insurance Company West Des Moines IA 10/2017 Present
Principal Securities W Des Moines IA 10/2017 Present
Wells Fargo West Des Moines IA 01/2017 10/2017
Endurance Consulting Urbandale IA 10/2016 01/2017
Tuxedo Country Club Tuxedo NY 04/2007 10/2016
The Business People, Llc West Des Moines IA 09/2020 Present
Union Financial West Des Moines IA 03/2021 03/2022
Wealth By Choice West Des Moines IA 04/2023 Present
  • 10/2017 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 10/2017 → Present
    Principal Securities
    W Des Moines, IA
  • 01/2017 → 10/2017
    Wells Fargo
    West Des Moines, IA
  • 10/2016 → 01/2017
    Endurance Consulting
    Urbandale, IA
  • 04/2007 → 10/2016
    Tuxedo Country Club
    Tuxedo, NY
  • 09/2020 → Present
    The Business People, Llc
    West Des Moines, IA
  • 03/2021 → 03/2022
    Union Financial
    West Des Moines, IA
  • 04/2023 → Present
    Wealth By Choice
    West Des Moines, IA
Other Businesses

**Fixed insurance; Investment Related; 6701 Westown Pkwy, Suite 200, West Des Moines 50266; Agent; Life, Annuities, Group Benefits, DI; Start Date: 04/06/2018; 10 hrs per month; 0 during trading hours. **INSURANCE POSITION: Group NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/27/2023 ADDRESS: 6701 Westown Pkwy STE 200, West Des Moines IA 50266, United States DESCRIPTION: Group benefits: Life, medical, DI, Vision, Health, Annuities, fixed insurance, group insurance. **COMMUNITY NATIONAL BANK POSITION: Financial Advisor NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/02/2017 ADDRESS: 6701 Westown Pkwy STE200, WEST DES MOINES IA 50266, United States DESCRIPTION: I am purchasing a book of business from a retiring advisor Bennett Ely.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-22
  • S66 Uniform Combined State Law Examination
    2018-02-22

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