Minoo Seraji-spellerberg
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.
Minoo Seraji-spellerberg, who also goes by Mindo Serajispellerberg, Minoo Serajispellerberg, Mindo Spellerberg, Minoo Spellerberg, was a registered financial professional .
Minoo is a previously registered financial professional and started their career in finance in 1996. Minoo had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 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
August 28, 2007 - April 12, 2016
PRINCIPAL ASSET MANAGEMENT
January 19, 2007 - August 27, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
April 25, 2001 - August 28, 2007
PRINCIPAL SECURITIES, INC.
August 20, 1998 - November 1, 2018
PRINCIPAL SECURITIES, INC.
July 29, 1996 - August 20, 1998
LOCUST STREET SECURITIES, INC.
Primary Firm SEC Registration
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
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 ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
Contact information
SEC notice filing (52 States and Territories)
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 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
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.
