JW
John W. Wetherell
PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
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CRD#: 4550232
JW
Professional summary
John W Wetherell is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
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.
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) JACOBS PLACE. 2400 30TH ST., DES MOINES, IA 50310. PRESIDENT OF JACOBS PLACE - CHAIR BOARD MEETINGS, RESPOND TO INFORMATION REQUESTS FROM U.S. HOUSING & URBAN DEVELOPMENT AND INDEPENDENT AUDITORS. EFFECTIVE DATE - 1/1/2013, 20 HOURS PER YEAR; 0 DURING TRADING HOURS. NOT INVESTMENT-RELATED. 3) St. Paul's Episcopal Cathedral - Chapter Member. Member of Chapter responsible for oversight of all operating areas of the Cathedral, for decision making on capital expenditures, developing the annual budget, assessing the performance of church staff. Not investment related. No compensation. 815 High Street Des Moines, IA 50309. 1-3 hrs per week, 0 hrs during trading. Effective 09/12/2023.
CRS (Client Relationship Summary) - BD
Click below to view John W Wetherell'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®
NoneExperience
Current
November 7, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
August 14, 2015 - December 31, 2023
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
April 8, 2008 - December 31, 2023
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
DES MOINES, IA
Past
September 8, 2004 - April 8, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
October 2, 2002 - September 27, 2023
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261Des Moines, IA 50392TRUST BUT VERIFY
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