Matthew Paul Moran, CFP, CIMA | 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.

Matthew Paul Moran, CFP®, CIMA® was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1991. Matthew had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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. *Gratitude Matt - Owner. Blog and podcast to highlight the benefit of gratitude. 39 Edgewater Dr. Orchard Park, NY 14127. 2 hrs per week, 0 hrs during trading. Not investment related. Effective 06/01/2020.

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®

CFP^®

Certified Financial Planner

Start date: 2008

CIMA^®

Certified Investment Management Analyst

Experience

Past

January 5, 2022 - August 29, 2023

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Orchard Park, NY

Past

March 5, 2010 - August 29, 2023

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD

CRD#: 43261

DES MOINES, IA

Past

April 30, 2007 - September 23, 2008

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD

CRD#: 43261

DES MOINES, IA

Past

February 13, 2007 - August 29, 2023

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DES MOINES, IA

Past

November 15, 2005 - January 29, 2007

HIMCO DISTRIBUTION SERVICES COMPANY

BD

CRD#: 6604

HARTFORD, CT

Past

November 9, 1994 - November 30, 2004

FIDELITY DISTRIBUTORS COMPANY LLC

BD

CRD#: 17507

SMITHFIELD, RI

Past

December 4, 1991 - November 2, 1994

FIDELITY BROKERAGE SERVICES LLC

BD

CRD#: 7784

SMITHFIELD, RI

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

Series 63

Date: 12/18/1991

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: 12/1/1992

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 12/3/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 8

Date: 6/22/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

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

Matthew P. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

PRINCIPAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/1/1992

Series 6

Date: 12/3/1991

Series 8

Date: 6/22/1994

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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