Sean Thomas Clines
Professional Summary
Sean Thomas Clines, who also goes by Sean T Clines, is a registered financial advisor currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa. Sean is registered as a RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean Thomas Clines, Sean T Clines
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PRINCIPAL SECURITIES, INC.
Videos & Posts
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PRINCIPAL SECURITIES, INC.
Contact Information
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PRINCIPAL SECURITIES, INC.
Disclosures on record.
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PRINCIPAL SECURITIES, INC.
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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PRINCIPAL SECURITIES, INC.
Current Firm
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.
Contact Information
Main Address
711 High Street, Des Moines, IA 50392Mailing Address
711 High Street, Des Moines, IA 50392Phone Number
(800) 222-5852Established
Washington since 04/17/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | — |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| VOHRA, ROHIT | DIRECTOR | 4163828 |
| WEGENER, EDWARD ANTHONY | SENIOR DIRECTOR, SUPERVISION | 2717284 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
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PRINCIPAL SECURITIES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Sean Thomas Clines's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.