Derek Stephen Dunn

Employer firm

Principal Asset Management CRD 109002

$428B regulatory AUM 137 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2020 → 12/2021
  Mass Mutual Life Insurance Company
  Guilford, CT
• 01/2020 → 12/2021
  Mml Investors Services, Llc
  Guilford, CT
• 09/2016 → 05/2020
  Fairfield University
  Fairfield, CT
• 06/2019 → 08/2019
  Morgan Stanley
  Westport, CT
• 05/2017 → 08/2018
  Town Of Madison
  Madison, CT
• 08/2015 → 09/2016
  Unemployed
  Madison, CT
• 12/2021 → 03/2023
  Aon Investments Usa
  Norwalk, CT
• 04/2023 → Present
  Principal Funds Distributor
  Charlotte, NC
• 05/2023 → Present
  Principal Asset Management
  Charlotte, NC

Previous Registrations

• 2021-02-26 → 2021-12-13
  Mml Investors Services, Llc
  Guilford, CT
  Shelton, CT

Other Businesses

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

Exams

• S66 Uniform Combined State Law Examination
  2021-02-15

Other Names

• Derek Stephen Dunn