Curtis E. Sanders

PRINCIPAL FUNDS DISTRIBUTOR

Roseville, CA 95661

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CRD#: 3202919

Professional summary

Curtis Emersonlemay Sanders, who also goes by Curtis E L Sanders, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Roseville, California.

Curtis is registered as a RR (Registered Representative) and started their career in finance in 1999. Curtis has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 51, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Curtis E L Sanders

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Curtis Emersonlemay Sanders's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 18, 2007 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 1478 Stone Point Drive Suite 370, Roseville, CA 95661

CRD#: 43261

Roseville, CA

Past

September 16, 2008 - August 14, 2024

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Folsom, CA

Past

June 29, 1999 - September 18, 2006

E*TRADE SECURITIES LLC

CRD#: 29106

RANCHO CORDOVA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(4/18/2007)

Exams

State Security Law Exam

Series 63

Date: 7/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/4/2019

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/28/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Firm Stability Insights

Curtis E. Sanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Curtis Emersonlemay Sanders's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

E*TRADE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/27/1999

Series 51

Date: 10/4/2019

Series 4

Date: 2/28/2001

Series 24

Date: 1/31/2001

FINRA

Current Firm

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PRINCIPAL FUNDS DISTRIBUTOR, INC.

TRUST BUT VERIFY

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