Best Investors
Account
Sign in
Best Investors
Account
Sign in
801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-06-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Neuberger Berman Llc | New York | NY | 09/2008 | 09/2021 |
| Principal Funds Distributor | New York | NY | 09/2021 | Present |
| Principal Asset Management | New York | NY | 09/2021 | Present |
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Mercyhurst University - Secretary of Board of Trustees. Also a member of the board. Provides advice and guidance regarding the University strategy, may participate in specific committees periodically. Appointment as secretary will involve membership in the Executive Committee of the Board of Trustees. 501 E 38th St, Erie, PA 16546. Not investment related. 0-1 hours per week, 0 hours during trading. Effective 02/21/2022. 3) Ohio State University Fisher College of Business Finance Advisory Board - Board Member. Provide input on curriculum, provide insights on markets and skillsets. No compensation. Not investment related. 281 W Lane Ave Columbus, OH 43210. 0-1 hrs per week, 0 hrs during trading. Effective 01/01/2023.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-09-07 |
Reach out to this advisor