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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2024-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Delaware Investments | Philadelphia | PA | 03/2012 | 08/2019 |
| Principal Funds Distributor, Inc. | Des Moines | IA | 09/2019 | Present |
| Principal Asset Management | Des Moines | IA | 10/2019 | Present |
1) Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, LLC and its affiliates. 2) Rental properties, not investment related, address Chatam, NJ, rental of single family properties, co-owner, start date 2003, 0 hours/month, 0/hours during trading hours, co-owner of three rental properties. 3) Investment Management Education Alliance - Co-Chair Distribution Intelligence Council. Organizes and sets agendas for meetings with peers in the asset management industry. Investment related. 200 Highland Ave. Suite 403 Needham, MA 02494. Effective 01/01/2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-20 |
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