TM
Thomas W. Metzler
PRINCIPAL FUNDS DISTRIBUTOR
NEW YORK, NY 10019
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CRD#: 3072457
TM
Professional summary
Thomas William Metzler is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas William Metzler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 21, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 888 7th Avenue 19th & 25th Floor, New York, NY 10019BD
CRD#: 43261
NEW YORK, NY
Past
August 21, 2017 - November 13, 2024
METLIFE INVESTMENTS SECURITIES, LLC
BD
CRD#: 285684
Whippany, NJ
Past
January 3, 2011 - May 6, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
January 1, 2005 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
NEW YORK, NY
Past
November 1, 2002 - September 9, 2003
ROBERT FLEMING INC.
RIA
CRD#: 1711
NEW YORK, NY
Past
October 23, 2002 - November 10, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
RIA
CRD#: 107038
NEW YORK, NY
Past
May 30, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
January 26, 2000 - January 19, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
June 22, 1998 - January 28, 2000
JPMSI
BD
CRD#: 15733
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/21/2024)
RR
Alaska(10/23/2025)
RR
Arizona(10/23/2025)
RR
Arkansas(11/21/2024)
RR
California(10/23/2025)
RR
Colorado(10/23/2025)
RR
Connecticut(11/21/2024)
RR
Delaware(11/21/2024)
RR
District of Columbia(11/21/2024)
RR
Florida(11/21/2024)
RR
Georgia(11/21/2024)
RR
Hawaii(10/23/2025)
RR
Idaho(10/23/2025)
RR
Illinois(10/23/2025)
RR
Indiana(10/23/2025)
RR
Iowa(10/23/2025)
RR
Kansas(10/23/2025)
RR
Kentucky(1/3/2025)
RR
Louisiana(11/21/2024)
RR
Maine(10/23/2025)
RR
Maryland(11/21/2024)
RR
Massachusetts(10/23/2025)
RR
Michigan(10/23/2025)
RR
Minnesota(10/23/2025)
RR
Mississippi(11/21/2024)
RR
Missouri(10/23/2025)
RR
Montana(10/23/2025)
RR
Nebraska(10/23/2025)
RR
Nevada(10/23/2025)
RR
New Hampshire(10/23/2025)
RR
New Jersey(1/2/2025)
RR
New Mexico(10/23/2025)
RR
New York(11/21/2024)
RR
North Carolina(11/21/2024)
RR
North Dakota(10/23/2025)
RR
Ohio(10/23/2025)
RR
Oklahoma(10/23/2025)
RR
Oregon(10/23/2025)
RR
Pennsylvania(10/23/2025)
RR
Rhode Island(10/23/2025)
RR
South Carolina(11/21/2024)
RR
South Dakota(10/23/2025)
RR
Tennessee(11/21/2024)
RR
Texas(10/23/2025)
RR
Utah(10/23/2025)
RR
Vermont(10/23/2025)
RR
Virginia(2/5/2025)
RR
Washington(10/23/2025)
RR
West Virginia(11/21/2024)
RR
Wisconsin(10/23/2025)
RR
Wyoming(10/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PRINCIPAL FUNDS DISTRIBUTOR, INC.
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(800) 222-5852
Established
Washington since 04/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
