Paulette B Travis
Professional Summary
Paulette B Travis, who also goes by Paulette Travis Rudinger, Paulette Travis Rudinger, Paulette B Travis-rudinger, was a registered financial advisor. Paulette was a previously registered financial professional and started their career in finance 2001 - 2008. Paulette had worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Paulette Travis Rudinger, Paulette Travis Rudinger, Paulette B Travis-Rudinger
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.
Contact Information
Main Address
711 High Street, Des Moines, IA 50392Mailing Address
711 High Street, Des Moines, IA 50392Phone Number
(800) 222-5852Established
Washington since 04/17/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | — |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| VOHRA, ROHIT | DIRECTOR | 4163828 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2001About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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