James A. Desmond
Professional summary
James Andrew Desmond, CIMA®, who also goes by James A Desmond, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Minneapolis, Minnesota and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Minneapolis, Minnesota.
James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 7 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Desmond's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 222 S 9th St Ste 1300, Minneapolis, MN 55402January 24, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 222 S 9th St Ste 1300, Minneapolis, MN 55402June 23, 2004 - October 25, 2005
WELLS FARGO INVESTMENTS, LLC
December 18, 2000 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - October 25, 2005
WELLS FARGO INVESTMENTS, LLC
March 8, 1994 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 6, 1990 - March 16, 1994
IDS LIFE INSURANCE COMPANY
February 6, 1990 - March 16, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
September 5, 1986 - February 7, 1990
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2022)
Exams
FINRA
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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