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Alex James Van Roekel

Principal Asset Management

Miami, FL

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Current Employers
Principal Asset Management

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-06-26
  • FL RA
    APPROVED
    Since 2025-06-26

Branch Locations

1395 Brickell Avenue Suite 802, Miami, FL 33131 • 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
Axa Advisors, Llc New York NY 08/2016 12/2016
Qualified Plan Consultants, Llc West Des Moines IA 01/2017 05/2018
Principal Funds Distributor, Inc. Miami FL 05/2018 Present
Principal Securities, Inc. Miami FL 03/2019 Present
  • 08/2016 → 12/2016
    Axa Advisors, Llc
    New York, NY
  • 01/2017 → 05/2018
    Qualified Plan Consultants, Llc
    West Des Moines, IA
  • 05/2018 → Present
    Principal Funds Distributor, Inc.
    Miami, FL
  • 03/2019 → Present
    Principal Securities, Inc.
    Miami, FL
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-09
S63 Uniform Securities Agent State Law Examination 2016-11-29
  • S66 Uniform Combined State Law Examination
    2025-06-09
  • S63 Uniform Securities Agent State Law Examination
    2016-11-29
Other Names
  • Alex Van Roekel

View on SEC IAPD

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HOLLANDER ASSET MANAGEMENT LLC · MIAMI, FL
GFG CAPITAL · MIAMI, FL
XP ADVISORY US, INC. · MIAMI, FL
ESCHATON OPPORTUNITIES FUND MANAGEMENT LP · MIAMI, FL
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP. · MIAMI, FL
PILOTAI WEALTH · MIAMI, FL
ARKHE WEALTH MANAGEMENT · MIAMI, FL
SAMUEL & ASSOCIATES INVESTMENT MANAGEMENT LP · MIAMI, FL

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