Eric A. Smith
Professional summary
Eric Alan Smith, who also goes by Eric Smith, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Charlotte, North Carolina.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 4 firms and has passed the Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Alan Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2025 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262January 6, 2023 - April 15, 2025
DELAWARE DISTRIBUTORS, L.P.
March 31, 2021 - July 20, 2022
IVY DISTRIBUTORS, INC.
June 8, 2012 - April 16, 2021
WADDELL & REED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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