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DS

Darren F. Smith

PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
Some features on this profile are disabled
CRD#: 2453893
DS

Professional summary

Darren F Smith, who also goes by Darren Frederick Smith, Darren F Smith, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

Darren is registered as a RR (Registered Representative) and started their career in finance in 1994. Darren has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Darren Frederick Smith | Darren F Smith

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 Darren F Smith'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 28, 2026 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

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

August 4, 2006 - October 17, 2023

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
SAN FRANCISCO, CA
Past

January 1, 2005 - August 1, 2006

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
SAN FRANCISCO, CA
Past

February 5, 2003 - September 9, 2003

ROBERT FLEMING INC.

RIA
CRD#: 1711
NEW YORK, NY
Past

October 24, 2002 - September 11, 2006

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

July 13, 2001 - January 1, 2005

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

June 18, 2001 - June 18, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

December 31, 2000 - July 16, 2001

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

April 26, 2000 - December 31, 2000

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

July 12, 1996 - October 26, 1999

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

May 13, 1994 - July 10, 1996

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 289
HOUSTON, TX

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
District of Columbia
(1/28/2026)
RR
Florida
(1/28/2026)
RR
Idaho
(1/29/2026)
RR
Illinois
(1/28/2026)
RR
Kentucky
(1/28/2026)
RR
Michigan
(1/28/2026)
RR
Minnesota
(1/28/2026)
RR
Mississippi
(1/28/2026)
RR
Montana
(1/28/2026)
RR
Nebraska
(1/28/2026)
RR
New Jersey
(1/28/2026)
RR
Oklahoma
(1/28/2026)
RR
South Carolina
(1/28/2026)
RR
South Dakota
(1/28/2026)
RR
Texas
(1/28/2026)
RR
Washington
(1/28/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/28/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/1994
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 3
Date: 12/21/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/12/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/10/2017
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2012
General Securities Principal 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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