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MS

Michael A. Siciliano

PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
Some features on this profile are disabled
CRD#: 2369268
MS

Professional summary

Michael Alfred Siciliano is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Alfred Siciliano's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 27, 2026 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 711 High Street, Des Moines, IA 50392
BD
CRD#: 43261
DES MOINES, IA
Past

December 8, 2022 - April 8, 2025

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Boston, MA
Past

July 1, 2022 - August 22, 2022

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Duxbury, MA
Past

March 22, 2018 - June 30, 2022

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

January 11, 2012 - April 5, 2017

BARINGS SECURITIES LLC

BD
CRD#: 36929
CHARLOTTE, NC
Past

February 17, 2011 - September 2, 2011

ARCOLA SECURITIES, INC.

BD
CRD#: 147952
NEW YORK, NY
Past

November 5, 2007 - January 22, 2009

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

June 10, 2004 - July 2, 2007

MELLON FUNDS DISTRIBUTOR, L.P.

BD
CRD#: 39414
BOSTON, MA
Past

February 15, 2002 - August 27, 2007

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
BOSTON, MA
Past

June 1, 1999 - February 26, 2002

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

January 28, 1995 - October 13, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 9, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/27/2026)
RR
Arkansas
(1/27/2026)
RR
Connecticut
(1/27/2026)
RR
Delaware
(1/27/2026)
RR
District of Columbia
(1/27/2026)
RR
Florida
(1/27/2026)
RR
Georgia
(1/27/2026)
RR
Kentucky
(1/27/2026)
RR
Louisiana
(1/27/2026)
RR
Maryland
(1/27/2026)
RR
Massachusetts
(1/27/2026)
RR
Mississippi
(1/27/2026)
RR
New Jersey
(1/27/2026)
RR
New York
(1/27/2026)
RR
North Carolina
(1/27/2026)
RR
Pennsylvania
(1/27/2026)
RR
South Carolina
(1/27/2026)
RR
Tennessee
(1/27/2026)
RR
Virginia
(1/27/2026)
RR
West Virginia
(1/27/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/27/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/1994
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: 7/8/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PRINCIPAL FUNDS DISTRIBUTOR, INC.
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.

CRD#: 43261 / SEC#: , 8-50200

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(800) 222-5852
Established
Washington since 04/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLCOWNER
BERG, JOHN THOMASDIRECTOR7973551
CLINES, SEAN THOMASCHIEF FINANCIAL OFFICER3055601
DESSOUKI, RAMONA HIATTCHIEF MARKETING OFFICER7812577
HILL, TIMOTHY ALLENNATIONAL SALES MANAGER/DIRECTOR2317289
HOESKE, DINA ROMEOSENIOR DIRECTOR - FUND SHAREHOLDER SERVICES2704646
MURRAY, MICHAEL FRANCISDIRECTOR2074275
SCHOLTEN, MICHAEL JOSEPHPRINCIPAL OPERATIONS OFFICER6388259
STOCKMAN, MICHELLE RENEECHIEF COMPLIANCE OFFICER5010490
WONG, BRANT KPRESIDENT/DIRECTOR (CHAIRMAN)5093714

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.

Company Information

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261Des Moines, IA 50392

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