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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-07-18 |
Branch Locations
210 University Boulevard Ste 800, Denver, CO 80206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Neuberger Berman Llc | Littleton | CO | 09/2012 | 12/2019 |
| Principal Funds Distributor, Inc | Littleton | CO | 12/2019 | 07/2023 |
| Baird | Denver | CO | 07/2023 | Present |
*Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates. Name/Address: Witter Rental Home / 5389 S Harlan Way, Littleton, CO 80123 Start Date: 04/2010 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Rental Property Owner Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-08 |
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