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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2025-10-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Blackrock | San Francisco | CA | 09/2010 | 11/2016 |
| Principal Funds Distributor, Inc. | Des Moines | IA | 09/2017 | Present |
| Unemployed | Corte Madera | CA | 11/2016 | 09/2017 |
| Principal Asset Management | Des Moines | IA | 10/2017 | Present |
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-25 |
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