Kyle R. Dalley
Professional summary
Kyle R Dalley, who also goes by Kyle Ryan Dalley, Kyle Dalley, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Denver, Colorado.
Kyle is registered as a RR (Registered Representative) and started their career in finance in 1996. Kyle has worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kyle R Dalley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392January 24, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 4600 S Syracuse Ste 1010, Denver, CO 80237September 27, 2006 - February 26, 2007
J.P. MORGAN SECURITIES INC.
July 19, 2006 - February 26, 2007
J.P. MORGAN SECURITIES INC.
July 7, 2006 - September 27, 2006
BANC ONE SECURITIES CORPORATION
May 6, 2002 - July 21, 2004
BANC ONE SECURITIES CORPORATION
April 18, 2002 - July 21, 2004
BANC ONE SECURITIES CORPORATION
July 19, 2000 - December 20, 2000
CHARLES SCHWAB & CO., INC.
October 1, 1997 - July 27, 1998
FIDELITY BROKERAGE SERVICES LLC
November 12, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 12, 1996 - October 28, 1997
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2022)
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
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Company Information
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261Des Moines, IA 50392TRUST BUT VERIFY
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