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655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-04-19 |
| IL | RA | APPROVED | 2024-04-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services Llc | St. Louis | MO | 10/2017 | 05/2022 |
| Kforce | St. Louis | MO | 10/2017 | 02/2018 |
| Svg Lueneburg | Lueneburg | 06/2016 | 04/2017 | |
| Unemployed | Edwardsville | IL | 05/2017 | 10/2017 |
| Principal Life Insurance Company | Glen Carbon | IL | 05/2022 | Present |
| Principal Securities Inc | Glen Carbon | IL | 06/2022 | Present |
| Principal Advised Services | Edwardsville | IL | 04/2024 | Present |
**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: 09/23/2024 ADDRESS: 711 High Street, 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: 05/30/2023 ADDRESS: 711 High Street, 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 | 2018-01-02 |
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