Alison D. Tenpas
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.
Alison Dawn Tenpas, who also goes by Alison D Tenpas, Alison Dawn Uitermarkt, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 1994. Alison had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 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
February 26, 2024 - February 3, 2026
PRINCIPAL FUNDS DISTRIBUTOR, INC.
May 14, 2013 - October 31, 2018
PRINCIPAL SECURITIES, INC.
February 5, 2008 - May 8, 2013
PRINCIPAL ASSET MANAGEMENT
January 10, 2000 - February 5, 2008
PRINCIPAL SECURITIES, INC.
January 7, 1999 - October 31, 2018
PRINCIPAL SECURITIES, INC.
August 4, 1998 - November 23, 1998
LOCUST STREET SECURITIES, INC.
June 5, 1995 - April 21, 1998
PRINCIPAL SECURITIES, INC.
September 21, 1994 - May 1, 1995
METLIFE INVESTORS SALES COMPANY
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 FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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