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Michael Christopher Schaefer

Principal Asset Management

Manlius, NY

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Current Employers
Principal Asset Management

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-01-14
  • NY RA
    APPROVED
    Since 2022-01-14

Branch Locations

Manlius, NY • 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 Funds Distributor, Inc. Stamford CT 06/2011 Present
Principal Asset Management Stamford CT 01/2022 Present
Previous Registrations
  • 2010-01-05 → 2011-07-05
    Delaware Capital Management Advisers, Inc
    Philadelphia, PA
  • 2003-09-12 → 2009-12-31
    Lincoln Financial Distributors, Inc.
    Manlius, NY
    Oreland, PA
    Great Falls, VA
    Pittsford, NY
Other Businesses

Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-30
S65 Uniform Investment Adviser Law Examination 2003-03-07
S63 Uniform Securities Agent State Law Examination 2000-12-14
  • S66 Uniform Combined State Law Examination
    2021-12-30
  • S65 Uniform Investment Adviser Law Examination
    2003-03-07
  • S63 Uniform Securities Agent State Law Examination
    2000-12-14
Other Names
  • Michael C. Schaefer

View on SEC IAPD

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