Gregory Seaver

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
CT	RA	APPROVED	2024-01-31

CT RA
APPROVED

Since 2024-01-31

Branch Locations

West Hartford, CT • 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
Hartford Funds Distributors, Llc	Wayne	PA	12/2012	06/2023
Unemployed	West Hartford	CT	06/2023	10/2023
Principal Funds Distributor, Inc.	Des Moines	IA	10/2023	Present
Principal Asset Management	Des Moines	IA	01/2004	Present

12/2012 → 06/2023

Hartford Funds Distributors, Llc

Wayne, PA
06/2023 → 10/2023

Unemployed

West Hartford, CT
10/2023 → Present

Principal Funds Distributor, Inc.

Des Moines, IA
01/2004 → Present

Principal Asset Management

Des Moines, IA

Other Businesses

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

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-01-19
S63	Uniform Securities Agent State Law Examination	1998-07-27

S66 Uniform Combined State Law Examination

2024-01-19
S63 Uniform Securities Agent State Law Examination

1998-07-27

Other Names

Greg Seaver
Gregory Joseph Seaver

View on SEC IAPD