Alexander Glenn Yee

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	2022-11-21

CT RA
APPROVED

Since 2022-11-21

Branch Locations

Fairfield, 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
Franklin Distributors Llc	Stamford	CT	08/2014	09/2022
Legg Mason & Co	Stamford	CT	08/2014	07/2021
Principal Funds Distributors	Stamford	CT	09/2022	Present
Principal Asset Management	Stamford	CT	11/2022	Present

08/2014 → 09/2022

Franklin Distributors Llc

Stamford, CT
08/2014 → 07/2021

Legg Mason & Co

Stamford, CT
09/2022 → Present

Principal Funds Distributors

Stamford, CT
11/2022 → Present

Principal Asset Management

Stamford, CT

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	2022-11-18
S63	Uniform Securities Agent State Law Examination	2014-02-08

S66 Uniform Combined State Law Examination

2022-11-18
S63 Uniform Securities Agent State Law Examination

2014-02-08

View on SEC IAPD