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4700 N. River Blvd Ne, Cedar Rapids, IA 52411 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-11-09 |
| IA | RA | APPROVED | 2021-01-15 |
Branch Locations
4700 N. River Blvd Ne, Cedar Rapids, IA 52411 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Cedar Rapids | IA | 04/1999 | 12/2021 |
| Principal Financial Group | Cedar Rapids | IA | 04/1999 | 01/2021 |
| Basepoint Wealth Llc | Cedar Rapids | IA | 01/2021 | Present |
**Catholic Foundation in the Archdiocese of Dubuque (Iowa) - Board member / committee member Serve on board, oversee budget, review investment management by Mercer, assist Executive director in strategic planning, no check writing capabilities or access to bank accounts. About 1 hour dedicated per month during non-securities trading hours. 07/01/2019 **LCRE, LLC - Owner/Investor in commercial real estate Cedar Rapids, IA, Time dedicated to the activity is infrequent and less than an hour per month is dedicated to this activity, which is during non-securities trading hours. Duties include responding to tenant inquiries, and oftentimes, solely via e-mail. 10/31/2013 **FSP Foundation for Financial Service Professionals (National Board of Trustees) - Trustee - no compensation is received. 1 hour / qtr. Zoom meetings to discuss Foundation goals and objectives. In April review scholarship requests. 01/01/2024 **National NAIFA / Society of Financial Service Professionals / Life Happens Professional Development Committee - committee member - no compensation is received. 1.5 hours per quarter. Zoom meetings to discuss professional development goals and objectives for the members. 01/01/2024 **St. Elizabeth Ann Seton Church/Councilmember, St. Vincent dePaul (local charity)-928 7th St SE Cedar Rapids, IA 52401/No compensation/Not investment related-3 hours per quarter-Started 07.2023 **Eastern Iowa Planned Giving Council/Councilmember/Boardmember/PO Box 1163 Cedar Rapids, IA 54206/Conducts quarterly events to promote education about charitable giving/Networks with other professionals-3 hours per quarter-Started 06.2024-Not investment related/no compensation
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-27 |
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