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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2009-04-14 |
Branch Locations
2 High Ridge Park Suite 2, Stamford, CT 06905 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Riverside | CT | 08/2005 | 06/2024 |
| Principal Funds Distributor | Stamford | CT | 01/2016 | Present |
| Principal Asset Management | Stamford | CT | 04/2009 | Present |
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Richard D. Wilson Trust - Executor. Executor of will/estate. 12 Village Road Gloucester, MA 01930. Not Investment Related. 0 hrs per week, 0 hrs during trading. Effective - 12/13/2019 3) Gloucester, MA Home Rental Property- Partner in a Trust. Inherited a property from his late parents to be used as a vacation home. Not investment related, no compensation. 12 Village Rd. Gloucester, MA 01930. 0 hrs. per week, 0 hrs. per week during trading. Effective 07/15/2024. 4) Money Management Institute - representing Principal Asset Management on the Board of Governors. 1410 Broadway New York, NY 10018. No compensation, approximately 1 hour per month and 0 during trading, beginning 07/01/2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-30 |
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