Stacy R. Letz
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.
Stacy R Letz, who also goes by Stacy Rene Letz, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 1986. Stacy had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - August 25, 2021
PRINCIPAL ASSET MANAGEMENT
January 28, 2019 - August 25, 2021
PRINCIPAL FUNDS DISTRIBUTOR, INC.
April 21, 2014 - May 13, 2014
PRINCIPAL SECURITIES, INC.
April 21, 2014 - February 25, 2016
PRINCIPAL SECURITIES, INC.
May 18, 2011 - May 15, 2012
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
September 17, 2007 - May 2, 2012
VP DISTRIBUTORS LLC
November 7, 2006 - August 6, 2007
RBC CAPITAL MARKETS, LLC
November 2, 2000 - June 28, 2001
MARCO CONSULTING GROUP, INC.
October 15, 1998 - December 14, 1998
WILLIAM BLAIR
January 6, 1987 - March 21, 1988
FIDELITY BROKERAGE SERVICES LLC
December 2, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS CORPORATION
Primary Firm SEC Registration
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationCurrent Firm
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
Contact information
SEC notice filing (52 States and Territories)
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 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 |
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.
