Nicholas Jerome Walstrom

Current Employers

Principal Asset Management

801 Grand Ave, Des Moines, IA 50392-0001 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2022-03-22

MN RA
APPROVED

Since 2022-03-22

Branch Locations

Excelsior, MN • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Minneapolis	MN	05/2010	02/2022
Rbc Global Asset Management (U.S.) Inc.	Minneapolis	MN	05/2010	02/2022
Principal Asset Management	Folsom	CA	03/2022	Present
Principal Funds Distributor	Folsom	CA	02/2022	Present

05/2010 → 02/2022

Rbc Capital Markets, Llc

Minneapolis, MN
05/2010 → 02/2022

Rbc Global Asset Management (U.S.) Inc.

Minneapolis, MN
03/2022 → Present

Principal Asset Management

Folsom, CA
02/2022 → Present

Principal Funds Distributor

Folsom, CA

Previous Registrations

2010-06-01 → 2022-03-02

Rbc Capital Markets, Llc

Minneapolis, MN

Other Businesses

1) Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates. 2) J&J Lovelace Foundation - Board Member, Executive Committee - Treasurer, Internal Affairs Chair. Supporting non-profit organization focused on providing support to the homeless. Assess the financial standing, policies, and strategic initiatives of J&J in order to make recommendations regarding budgeting, forecasting, and financial decisions. 3539 Douglas Drive North Minneapolis, MN 55422. No compensation. Not investment related. 2 hrs per week, 0 hrs during trading. Effective 02/28/2023.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-02-05

S66 Uniform Combined State Law Examination

2001-02-05

Other Names

Nick Jerome Walstrom

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