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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-01-14 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Funds Distributor, Inc. | Charlotte | NC | 01/2010 | Present |
| Principal Asset Management | Charlotte | NC | 01/2022 | Present |
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) BJ&G FAMILY PROPERTIES, LLC, PARTNER. PRIVATE REAL ESTATE HOLDING COMPANY TO HOLD PROPERTIES OWNED BY PARENTS, ANNUAL MEETING. INVESTMENT RELATED. ONE HOUR, NONE DURING SECURTIES TRADING HOURS. EFF 5/2016. 3) CABBA, LLC, OWNER. REAL ESTATE HOLDING COMPANY ESTABLISHED TO HOLD PROPERTY. LANDLORD. INVESTMENT RELATED. 10-12 HOURS/YEAR, NONE DURING SECURITIES TRADING HOURS. EFF 11/2015.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-31 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-20 |
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