Tobin W. Chakeen
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.
Tobin Wayne Chakeen was a registered financial professional .
Tobin is a previously registered financial professional and started their career in finance in 1987. Tobin had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2022 - March 2, 2026
PRINCIPAL ASSET MANAGEMENT
November 25, 2009 - March 2, 2026
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 20, 2007 - November 5, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 12, 2006 - November 7, 2007
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 2005 - March 3, 2006
JEFFERIES LLC
May 21, 2002 - February 25, 2005
PIPER SANDLER & CO.
March 31, 2000 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1987 - April 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
Current 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.
