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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-05-18 |
| NC | RA | APPROVED | 2026-03-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 07/2022 | 11/2023 |
| Ems Linq | Wilmington | NC | 07/2021 | 06/2022 |
| 42Nd Street Oyster Bar | Raleigh | NC | 05/2018 | 08/2018 |
| Oceanside Landscaping | Wilmington | NC | 05/2019 | 08/2019 |
| Dick'S Sporting Goods | Wilmington | NC | 08/2020 | 07/2021 |
| University Of North Carolina Wilmington | Wilmington | NC | 08/2018 | 05/2022 |
| Cardinal Gibbons High School | Raleigh | NC | 08/2014 | 05/2018 |
| Principal Funds Distributor | Charlotte | NC | 11/2023 | 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 | 2026-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2022-09-16 |
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