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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2022-05-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Funds Distributor, Inc. | Chicago | IL | 05/2008 | Present |
| Princor Financial Services Corp | Des Moines | IA | 05/2008 | 12/2018 |
| Principal Asset Management | Chicago | IL | 04/2022 | Present |
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates 2) Croft Real Estate, LLC - resident/agent/manager. 27 Canterbury Road, Marblehead, MA 01945. Owns and manages one real estate property, 5-7 hours per week, 2-3 during trading. Gross income approximately $20,000. Effective 06/01/2023.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-02 |
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