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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-06-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Blackrock Investments, Llc | New York | NY | 07/2009 | 01/2018 |
| Jp Morgan Chase Bank N.A. | Scarsdale | NY | 01/2018 | 07/2018 |
| Jp Morgan Securities, Llc | Scarsdale | NY | 01/2018 | 07/2018 |
| Blackrock Financial Management, Inc | New York | NY | 07/2009 | 01/2018 |
| John Hancock | Boston | MA | 07/2018 | 04/2022 |
| John Hancock Funds, Inc. | Boston | MA | 07/2018 | 04/2022 |
| John Hancock Advisers, Llc | Boston | MA | 11/2018 | 04/2022 |
| Hilton Capital Management, Llc | Garden City | NY | 04/2022 | 04/2026 |
| Foreside Fund Services, Llc | Garden City | NY | 04/2022 | 04/2026 |
| Principal Funds Distributor | Scarsdale | NY | 06/2026 | Present |
| Principal Asset Management | Scarsdale | NY | 06/2026 | 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-31 |
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