William Nickolas Lefler

Current Employers

Principal Asset Management

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-03-28

NC RA
APPROVED

Since 2025-03-28

Branch Locations

Charlotte, NC • United States

401 Mccullough Dr, Charlotte, NC 28262 • 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
Principal Mutual Life	Des Moines	IA	03/1997	06/2024
Princor Financial Services Corporation	Des Moines	IA	04/1997	11/2018
Principal Funds Distributor	Des Moines	IA	01/2016	Present
Principal Securities Inc	Des Moines	IA	04/2019	11/2024
Principal Asset Management	Des Moines	IA	06/2006	Present

03/1997 → 06/2024

Principal Mutual Life

Des Moines, IA
04/1997 → 11/2018

Princor Financial Services Corporation

Des Moines, IA
01/2016 → Present

Principal Funds Distributor

Des Moines, IA
04/2019 → 11/2024

Principal Securities Inc

Des Moines, IA
06/2006 → Present

Principal Asset Management

Des Moines, IA

Previous Registrations

2000-01-10 → 2006-06-20

Principal Securities, Inc.

Des Moines, IA

Des Moines, IA

Folsom, CA

Other Businesses

1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Power of Attorney for Mary Lefler. 0 hours/week, 0 during trading. No compensation. Charlotte, NC. Effective 02/23/2026.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-06-04

S63 Uniform Securities Agent State Law Examination

1997-06-04

Other Names

Nick Lefler

View on SEC IAPD