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KS

Kathryn M. Sheffer

PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
Some features on this profile are disabled
CRD#: 4101769
KS

Professional summary

Kathryn Mae Sheffer is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2000. Kathryn has worked at 3 firms and has passed the SIE, Series 6 and Series 26 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Mae Sheffer'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

November 14, 2016 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 711 High Street, Des Moines, IA 50392
BD
CRD#: 43261
DES MOINES, IA
Past

August 5, 2008 - March 17, 2010

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

October 18, 2000 - March 18, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/14/2016
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/25/2001
Investment Company Products/Variable Contracts Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLCOWNER
BERG, JOHN THOMASDIRECTOR7973551
CLINES, SEAN THOMASCHIEF FINANCIAL OFFICER3055601
DESSOUKI, RAMONA HIATTCHIEF MARKETING OFFICER7812577
HILL, TIMOTHY ALLENNATIONAL SALES MANAGER/DIRECTOR2317289
HOESKE, DINA ROMEOSENIOR DIRECTOR - FUND SHAREHOLDER SERVICES2704646
MURRAY, MICHAEL FRANCISDIRECTOR2074275
SCHOLTEN, MICHAEL JOSEPHPRINCIPAL OPERATIONS OFFICER6388259
STOCKMAN, MICHELLE RENEECHIEF COMPLIANCE OFFICER5010490
WONG, BRANT KPRESIDENT/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#: 43261Des Moines, IA 50392

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