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Current Employers
Principal Asset Management

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2021-12-21
  • IA RA
    APPROVED
    Since 2021-12-21

Branch Locations

711 High Street, Des Moines, IA 50392 • 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
OrganizationCityStateFromTo
Principal Life Insurance Co Des Moines IA 05/2003 06/2024
Principal Asset Management Des Moines IA 12/2021 Present
Principal Funds Distributor Des Moines IA 01/2007 Present
  • 05/2003 → 06/2024
    Principal Life Insurance Co
    Des Moines, IA
  • 12/2021 → Present
    Des Moines, IA
  • 01/2007 → Present
    Principal Funds Distributor
    Des Moines, IA
Previous Registrations
Other Businesses

1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Badger Creek Land Co LLC, Van Meter, IA, Owner, Less than 5 hrs per week, 0 hrs during trading hrs, not securities related, 05/15/18. ***

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-13
  • S66 Uniform Combined State Law Examination
    2021-12-13
Other Names
  • Ben Totel

View on SEC IAPD

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