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Principal Asset Management CRD 109002
$428B regulatory AUM 137 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Philadelphia | PA | 11/2015 | 06/2020 |
| Morgan Stanley | Philadelphia | PA | 06/2020 | 09/2023 |
| Principal Funds Distributor, Inc. | Stamford | CT | 09/2023 | Present |
| Principal Asset Management | Stamford | CT | 09/2023 | Present |
Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-03 |
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