Amardeep S. Chauhan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amardeep Singh Chauhan, who also goes by Amar Chauhan, was a registered financial professional .
Amardeep is a previously registered financial professional and started their career in finance in 1999. Amardeep had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2012 - February 18, 2021
PRINCIPAL FUNDS DISTRIBUTOR, INC.
January 27, 2009 - May 21, 2012
BRECEK & YOUNG ADVISORS, INC.
January 27, 2009 - July 6, 2010
BRECEK & YOUNG ADVISORS, INC.
January 23, 2009 - January 26, 2009
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - May 1, 2012
SECURITIES AMERICA, INC.
August 9, 2004 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
June 12, 2001 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
December 7, 1999 - September 27, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/2/2024
General Securities Representative ExaminationCurrent 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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