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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2023-09-14 |
| TX | RA | APPROVED | 2023-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Windham | MA | 11/2003 | Present |
| Principal Securities Inc | Windham | MA | 12/2003 | Present |
***KAPLAN FINANCIAL SERVICES, CHICAGO. BOSTON UNIVERSITY INSTRUCTOR: FINANCIAL PLANNING AVG HOURS/MONTH: 15 DURING TRADING HOURS: 0. ***COBBETTS POND IMPROVEMENT ASSOCIATION. 05/2010-PRESENT. PRESIDENT OF NON-PROFIT CORPORATION CHARGED WITH MAINTAINING WATER QUALITY IN COBBETTS POND WHERE I RESIDE. NOT INVESTMENT RELATED. COBBETTS POND IMPROVEMENT ASSOCIATION "CPIA" POSITION: Director on Board of CPIA NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2004 ADDRESS: 23 GARDNER RD, WINDHAM NH 03087, United States DESCRIPTION: CPIA is non profit corporation charged with maintaining and improving the water quality at Cobbetts Pond (Windham, NH). As a Director, we meet four (4) times per year on a volunteer unpaid basis to discuss this mission. DALTON EDUCATION LLC POSITION: CFP Instuctor NATURE: Adjunct Instruction INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2021 ADDRESS: 3625 Brookside Pkwy #450, Alpharetta GA 30022, United States DESCRIPTION: Teach financial planning courses in preparing candidates for CFP Certification. BOSTON UNIVERITY POSITION: Adjunct Professor NATURE: Adjunct Professor INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2021 ADDRESS: 233 Bay State Road, Boston MA 02216, United States DESCRIPTION: Teaching financial planning courses in preparing candidates for CFP Certification. KAPLAN UNIVERSITY POSITION: CFP Instructor NATURE: CFP Instruction INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2021 ADDRESS: 332 Front Street South, Suite 501, La Crosse WI 54601, United States DESCRIPTION: Teaching financial planning courses in preparing candidates for CFP Certification.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-08-10 |
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