Mark Carl Marwede | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Carl Marwede, who also goes by Mark C Marwede, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Mark C Marwede

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 2, 2022 - October 8, 2025

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Chicago, IL

Past

October 1, 2007 - October 8, 2025

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD

CRD#: 43261

Chicago, IL

Past

September 12, 2007 - December 26, 2018

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DOWNERS GROVE, IL

Past

April 24, 1998 - August 3, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD

CRD#: 17507

SMITHFIELD, RI

Past

July 3, 1995 - April 13, 1998

GUARDIAN INVESTOR SERVICES LLC

BD

CRD#: 6635

NEW YORK, NY

Past

December 8, 1993 - March 28, 1995

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PA

PRINCIPAL ASSET MANAGEMENT

CRD#: 109002 / SEC#: 801-55959

RIA

Registered Investment Advisory firm - (10/26/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 1/26/2022

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 12/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 7/11/2015

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 11/23/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 51

Date: 9/28/2019

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 9/4/2015

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 26

Date: 9/4/2008

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PA

PRINCIPAL ASSET MANAGEMENT

CRD#: 109002 / SEC#: 801-55959

RIA

Registered Investment Advisory firm - (10/26/1998 Approved)

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Contact information

Main Address

801 Grand Ave, Des Moines, IA 50392-0001

Mailing Address

711 High Street, Des Moines, IA 50392-0001

Phone number

(800) 787-1621

Established

Firm type

Fiscal year end

# of Employees

1,350

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCIPAL ASSET MANAGEMENT 2025 ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,399
AUM (Assets Under Management)	$ 364,035,359,901

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/28/2023	Cover Page	Report
12/20/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark C. Marwede

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

GUARDIAN INVESTOR SERVICES LLC

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

PRINCIPAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2022

Series 63

Date: 12/8/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2015

Series 6

Date: 11/23/1993

Series 51

Date: 9/28/2019

Series 24

Date: 9/4/2015

Series 26

Date: 9/4/2008

Current Firm

PRINCIPAL ASSET MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ASSET MANAGEMENT

TRUST BUT VERIFY

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