Alison D. Tenpas
Professional summary
Alison Dawn Tenpas, who also goes by Alison D Tenpas, Alison Dawn Uitermarkt, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Alison is registered as a RR (Registered Representative) and started their career in finance in 1994. Alison has 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) - BD
Click below to view Alison Dawn Tenpas's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392May 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
FINRA
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
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 50392TRUST BUT VERIFY
Monitor Alison Tenpas
Get automatic monthly alerts on:
