Shelly A. Eckels
Professional summary
Shelly Anne Eckels, who also goes by Shelly Anne Grossenbacher, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in New York, New York.
Shelly is registered as a RR (Registered Representative) and started their career in finance in 2002. Shelly has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shelly Anne Eckels's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2018 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 888 7th Avenue 25th Floor, New York, NY 10019April 3, 2017 - January 8, 2018
COMMONWEALTH FINANCIAL NETWORK
November 29, 2011 - August 6, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 22, 2003 - November 22, 2011
THE HUNTINGTON INVESTMENT COMPANY
November 20, 2002 - July 30, 2003
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/4/2021)
Exams
FINRA
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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