Louis Hollingsworth Dworsky

Current Employers

Principal Asset Management

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-09-18

NC RA
APPROVED

Since 2025-09-18

Branch Locations

Raleigh, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Schroders	New York	NY	06/2012	04/2025
Principal Funds Distributor, Inc.	Des Moines	IA	04/2025	Present
Principal Asset Management	Des Moines	IA	04/2025	Present

06/2012 → 04/2025

Schroders

New York, NY
04/2025 → Present

Principal Funds Distributor, Inc.

Des Moines, IA
04/2025 → Present

Principal Asset Management

Des Moines, IA

Previous Registrations

2005-10-24 → 2008-03-31

Banc Of America Investment Services, Inc.

Charlotte, NC

Boston, MA

Charlotte, NC

Charlotte, NC
2004-08-23 → 2005-09-02

Ameriprise Financial Services, Llc

Raleigh, NC

Other Businesses

Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-09-11

S66 Uniform Combined State Law Examination

2025-09-11

Other Names

Hollings Dworsky
Hollingsworth Dworsky

View on SEC IAPD