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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2019-09-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Des Moines | IA | 01/2006 | 10/2016 |
| Principal Funds Distributor, Inc. | El Dorado Hills | CA | 02/2014 | 10/2016 |
| Rsm Us Wealth Management Llc | Des Moines | IA | 10/2016 | 08/2017 |
| Principal Life Insurance Company | Des Moines | IA | 09/2017 | 06/2024 |
| Principal Securities, Inc. | Des Moines | IA | 09/2017 | Present |
| Principal Funds Distributor, Inc. | Des Moines | IA | 09/2019 | Present |
| Principal Asset Management | Des Moines | IA | 09/2019 | Present |
Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-24 |
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