AT
Andrew T. Turcotte
PRINCIPAL ASSET MANAGEMENT
Des Moines, IA 50392
Some features on this profile are disabled
CRD#: 4507435
AT
Professional summary
Andrew Thomas Turcotte, CFP®, who also goes by Andy Thomas Turcotte, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Des Moines, Iowa and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Andrew has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Thomas Turcotte
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.
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Thomas Turcotte's 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®
Experience
Current
November 11, 2021 - Present
PRINCIPAL ASSET MANAGEMENT
Office #1: 711 High Street, Des Moines, IA 50392RIA
CRD#: 109002
Des Moines, IA
Current
March 6, 2009 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
April 19, 2017 - June 21, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 16, 2014 - April 9, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
October 30, 2008 - December 10, 2010
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
October 28, 2008 - December 10, 2010
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
November 8, 2005 - July 24, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
MORTON, IL
Past
November 8, 2005 - July 24, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
MORTON, IL
Past
April 20, 2005 - July 18, 2005
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
July 31, 2002 - July 18, 2005
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
April 24, 2002 - May 8, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WEST DES MOINES, IA
Past
April 10, 2002 - May 8, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 10, 2002 - May 8, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(5/13/2022)
RR
Alaska(5/13/2022)
RR
Arizona(5/13/2022)
RR
Arkansas(5/13/2022)
RR
California(5/13/2022)
RR
Colorado(5/13/2022)
RR
Connecticut(5/13/2022)
RR
Delaware(5/13/2022)
RR
District of Columbia(5/13/2022)
RR
Florida(5/13/2022)
RR
Georgia(5/13/2022)
RR
Hawaii(5/13/2022)
RR
Idaho(5/13/2022)
RR
Illinois(5/13/2022)
RR
Indiana(5/13/2022)
RR
Iowa(7/14/2009)
IAR
Iowa(11/11/2021)
RR
Kansas(5/13/2022)
RR
Kentucky(5/13/2022)
RR
Louisiana(5/13/2022)
RR
Maine(5/13/2022)
RR
Maryland(5/13/2022)
RR
Massachusetts(5/13/2022)
RR
Michigan(5/13/2022)
RR
Minnesota(5/13/2022)
RR
Mississippi(5/13/2022)
RR
Missouri(5/13/2022)
RR
Montana(5/13/2022)
RR
Nebraska(5/13/2022)
RR
Nevada(5/13/2022)
RR
New Hampshire(5/13/2022)
RR
New Jersey(5/13/2022)
RR
New Mexico(5/13/2022)
RR
New York(5/13/2022)
RR
North Carolina(5/13/2022)
RR
North Dakota(5/13/2022)
RR
Ohio(5/15/2022)
RR
Oklahoma(5/13/2022)
RR
Oregon(5/13/2022)
RR
Pennsylvania(5/13/2022)
RR
Rhode Island(5/13/2022)
RR
South Carolina(5/13/2022)
RR
South Dakota(5/13/2022)
RR
Tennessee(5/13/2022)
RR
Texas(5/13/2022)
RR
Utah(5/13/2022)
RR
Vermont(5/13/2022)
RR
Virginia(5/13/2022)
RR
Washington(5/13/2022)
RR
West Virginia(5/13/2022)
RR
Wisconsin(5/13/2022)
RR
Wyoming(5/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
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Contact information
Main Address
801 Grand Ave, Des Moines, IA 50392-0001
Mailing Address
711 High Street, Des Moines, IA 50392-0001
Phone number
(800) 787-1621
Established
Firm type
Fiscal year end
# of Employees
1,350
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
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 ASSET MANAGEMENT
CRD#: 109002Des Moines, IA 50392TRUST BUT VERIFY
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