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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-10-10 |
Branch Locations
401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Citizens Investor Services, Inc | Charlotte | NC | 10/2015 | 01/2017 |
| First Citizens Bank | Charlotte | NC | 05/2013 | 01/2017 |
| Wells Fargo Clearing Services, Llc | Concord | NC | 02/2017 | 08/2021 |
| Wells Fargo Bank, N.A. | Concord | NC | 02/2017 | 08/2021 |
| Jpmorgan Chase Bank, N.A. | Charlotte | NC | 08/2021 | 09/2022 |
| J.P. Morgan Securities Llc | Charlotte | NC | 08/2021 | 09/2022 |
| Principal Funds Distributor | Charlotte | NC | 10/2022 | Present |
| Principal Asset Management | Charlotte | NC | 10/2022 | 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 |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-10 |
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