Debra J. Moorhouse
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.
Debra Jo Moorhouse, who also goes by Debra J Raggio, Debra Jo Raggio, Debra Schumacher, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1987. Debra had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 26, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2021 - July 27, 2022
PRINCIPAL ASSET MANAGEMENT
July 18, 2007 - September 22, 2008
PRINCIPAL SECURITIES, INC.
January 4, 2006 - July 27, 2022
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 2, 2005 - February 7, 2006
AMERITAS INVESTMENT COMPANY, LLC
January 24, 2005 - February 7, 2006
AMERITAS INVESTMENT COMPANY, LLC
July 27, 2004 - January 18, 2005
SAWTOOTH SECURITIES, LLC
October 19, 2001 - July 28, 2004
PFS INVESTMENTS INC.
June 7, 1990 - March 16, 1999
VENTURA PACIFIC CAPITAL CORPORATION
October 20, 1987 - April 25, 1990
FINANCIAL WEST INVESTMENT GROUP
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 | ||
| 12/20/2022 |
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.
