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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2022-08-09
TX RA APPROVED 2021-03-06
  • SC RA
    APPROVED
    Since 2022-08-09
  • TX RA
    APPROVED
    Since 2021-03-06

Branch Locations

Myrtle Beach, SC • United States

350 Lakemont Park Blvd Ste 3, Altoona, PA 16602 • 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 Securities, Inc. Myrtle Beach SC 06/1992 Present
Principal Life Insurance Company Myrtle Beach SC 07/1998 Present
Hancock Capital Management, Inc. Altoona PA 01/2001 11/2016
The Hancock Group Inc Altoona PA 04/2014 11/2016
Rjb Financial And Wealth Management Llc N Myrtle Beach SC 08/2016 12/2018
Hancock Associates Inc Altoona PA 08/2016 11/2016
Beck Financial And Wealth Management, Llc Altoona PA 09/2016 12/2021
Beck, Smithbower, Ickes Financial, Llc Myrtle Beach SC 12/2021 Present
  • 06/1992 → Present
    Myrtle Beach, SC
  • 07/1998 → Present
    Principal Life Insurance Company
    Myrtle Beach, SC
  • 01/2001 → 11/2016
    Altoona, PA
  • 04/2014 → 11/2016
    The Hancock Group Inc
    Altoona, PA
  • 08/2016 → 12/2018
    Rjb Financial And Wealth Management Llc
    N Myrtle Beach, SC
  • 08/2016 → 11/2016
    Hancock Associates Inc
    Altoona, PA
  • 09/2016 → 12/2021
    Beck Financial And Wealth Management, Llc
    Altoona, PA
  • 12/2021 → Present
    Beck, Smithbower, Ickes Financial, Llc
    Myrtle Beach, SC
Previous Registrations
Other Businesses

**Fixed Insurance, Group Health, Life, STD, LTD, 03/20/17. **Fixed Insurance; Investment Related; 350 Lakemont Park Blvd, Ste 3, Altoona, PA 16602; LTC, Medicare; Sales; Start Date: 07/12/2018; 1 hrs per month; 1 during trading hours. **BECK, SMITHBOWER, ICKES FINANCIAL, LLC POSITION: Financial Professional NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 09/01/2022 ADDRESS: 350 Lakemont Park Blvd, Suite 3, Altoona PA 16602, United States DESCRIPTION: Sales and service of insurance and securities products. **BRIGHTON LAKES HOA POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/15/2024 ADDRESS: 707 Uniola Drive, MYRTLE BEACH SC 29579, United States DESCRIPTION: Member. Assist in oversight of the day-to-day management of the HOA in conjunction with Waccamaw Management Association.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-05
S63 Uniform Securities Agent State Law Examination 1992-08-20
  • S65 Uniform Investment Adviser Law Examination
    2000-10-05
  • S63 Uniform Securities Agent State Law Examination
    1992-08-20
Designations

View on SEC IAPD

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