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Matthew S Doherty

Principal Advised Services

Norwalk, IA

CRD 6297181

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Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2025-10-10
  • IA RA
    APPROVED
    Since 2025-10-10

Branch Locations

Norwalk, IA • 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
OrganizationCityStateFromTo
Principal Life Insurance Company Des Moines IA 01/2014 Present
Principal Securities, Inc. Des Moines IA 02/2014 Present
Principal Advised Services Norwalk IA 10/2025 Present
  • 01/2014 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 02/2014 → Present
    Principal Securities, Inc.
    Des Moines, IA
  • 10/2025 → Present
    Principal Advised Services
    Norwalk, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-26
S63 Uniform Securities Agent State Law Examination 2024-12-20
  • S65 Uniform Investment Adviser Law Examination
    2025-09-26
  • S63 Uniform Securities Agent State Law Examination
    2024-12-20

View on SEC IAPD

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