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Current Employers
Principal Asset Management

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-10-06
  • SC RA
    APPROVED
    Since 2025-10-06

Branch Locations

Mount Pleasant, SC • 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
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
  • 09/2010 → 11/2016
    Blackrock
    San Francisco, CA
  • 09/2017 → Present
    Principal Funds Distributor, Inc.
    Des Moines, IA
  • 11/2016 → 09/2017
    Unemployed
    Corte Madera, CA
  • 10/2017 → Present
    Des Moines, IA
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-26
S63 Uniform Securities Agent State Law Examination 1992-09-25
  • S65 Uniform Investment Adviser Law Examination
    2001-07-26
  • S63 Uniform Securities Agent State Law Examination
    1992-09-25
Other Names
  • Matt Raynor

View on SEC IAPD

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