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Principal Asset Management CRD 109002
$428B regulatory AUM 137 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-12-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Funds Distributor, Inc. | Des Moines | IA | 01/2007 | Present |
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-22 |
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