John Dodge Mullen

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:

Current Employers

Principal Asset Management

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

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2022-03-02

GA RA
APPROVED

Since 2022-03-02

Branch Locations

Canton, GA • 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

Organization	City	State	From	To
Principal Funds Distributor, Inc.	Stamford	CT	01/2007	Present
Principal Asset Management	Stamford	CT	03/2022	Present

01/2007 → Present

Principal Funds Distributor, Inc.

Stamford, CT
03/2022 → Present

Principal Asset Management

Stamford, CT

Other Businesses

1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Secretary/Treasurer of Heron Pointe Homeowners Association in Canton, GA. Approximately 1 hour/month, 0 during trading, no compensation. Effective 02/18/2026.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-02-28
S63	Uniform Securities Agent State Law Examination	1994-02-25

S66 Uniform Combined State Law Examination

2022-02-28
S63 Uniform Securities Agent State Law Examination

1994-02-25

View on SEC IAPD