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James Michael Berg

Principal Advised Services

Carlisle, IA

CRD 2393377

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Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-05-20
  • IA RA
    APPROVED
    Since 2024-05-20

Branch Locations

Carlisle, IA • 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
Principal Securities Inc Des Moines IA 03/2019 Present
Principal Life Insurance Company Des Moines IA 07/1998 Present
Principal Advised Services Des Moines IA 05/2024 Present
  • 03/2019 → Present
    Principal Securities Inc
    Des Moines, IA
  • 07/1998 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 05/2024 → Present
    Principal Advised Services
    Des Moines, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1993-10-29
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1993-10-29
Other Names
  • Jim Berg

View on SEC IAPD

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