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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2024-01-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Securities | Toledo | OH | 09/2015 | 05/2019 |
| Tfo-Tdc, Llc | Maumee | OH | 05/2019 | 03/2023 |
| Principal Global Investors, Llc | Lambertville | MI | 04/2023 | 12/2023 |
| Principal Funds Distributor, Inc. | Des Moines | IA | 12/2023 | Present |
| Principal Asset Management | Des Moines | IA | 01/2024 | Present |
1) Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates. 2) Piper Annabelle Designs, LLC - Owner. Sale of handmade arts/crafts. Not investment related. Compensation based on potential sales. 7270 Cranbrook Dr, Lambertville, MI 48144 7 hrs per week, 0 hrs during trading. Effective 01/03/2022.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 2003-08-04 |
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