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John J Obrien

Principal Asset Management

Chicago, IL

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Current Employers
Principal Asset Management

801 Grand Ave, Des Moines, IA 50392-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-02-18
  • IL RA
    APPROVED
    Since 2022-02-18

Branch Locations

One North Wacker Drive Suite 3900, Chicago, IL 60606 • 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 Funds Distributor, Inc. Chicago IL 01/2011 Present
Princor Financial Services Corporation Downers Grove IL 01/2011 12/2018
Principal Asset Management Chicago IL 02/2022 Present
  • 01/2011 → Present
    Principal Funds Distributor, Inc.
    Chicago, IL
  • 01/2011 → 12/2018
    Princor Financial Services Corporation
    Downers Grove, IL
  • 02/2022 → Present
    Principal Asset Management
    Chicago, IL
Other Businesses

Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-17
S63 Uniform Securities Agent State Law Examination 2006-10-20
  • S66 Uniform Combined State Law Examination
    2022-02-17
  • S63 Uniform Securities Agent State Law Examination
    2006-10-20
Other Names
  • John Joseph Obrien
  • John J O'BRien

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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