Katherine A. Coons
Professional summary
Katherine Anne Coons, who also goes by Katherine Anne Coons, Katherine Coons, Katherine Ann Gengler, Katherine Anne Gengler, Katie Gengler, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Roseville, California.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1999. Katherine has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Anne Coons's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2023 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 1478 Stone Point Drive Suite 370, Roseville, CA 95661April 18, 2017 - July 11, 2023
JANUS HENDERSON DISTRIBUTORS US LLC
September 12, 2013 - May 13, 2016
TRANSAMERICA CAPITAL, LLC
August 20, 2012 - September 3, 2013
BEHR HOLDINGS 1, LTD.
February 23, 2011 - October 5, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 22, 2011 - October 5, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 27, 2008 - January 26, 2011
BREWER FINANCIAL SERVICES, LLC
October 24, 2007 - September 23, 2009
STIFEL INDEPENDENT ADVISORS, LLC
October 4, 2007 - September 23, 2009
STIFEL INDEPENDENT ADVISORS, LLC
January 4, 2005 - October 10, 2005
STIFEL INDEPENDENT ADVISORS, LLC
November 26, 2001 - October 7, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 12, 1999 - May 16, 2001
TD AMERITRADE, INC.
April 14, 1999 - June 22, 1999
IDS LIFE INSURANCE COMPANY
April 14, 1999 - June 22, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/28/2023)
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#: 43261Roseville, CA 95661TRUST BUT VERIFY
Monitor Katherine Coons
Get automatic monthly alerts on:
