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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-01-14 |
Branch Locations
888 7Th Avenue 25Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | New York | NY | 05/2006 | 06/2024 |
| Princor Financial Services Corporation | New York | NY | 09/2006 | 12/2018 |
| Principal Funds Distributor | New York | NY | 08/2015 | Present |
| Prinicpal Asset Management | New York | NY | 01/2022 | 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 | 2022-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-26 |
| S65 | Uniform Investment Adviser Law Examination | 2001-05-09 |
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