Rian J. Weber
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rian John Weber, CFP® was a registered financial professional .
Rian is a previously registered financial professional and started their career in finance in 2003. Rian had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2020 - March 27, 2023
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 11, 2007 - March 13, 2012
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 14, 2006 - June 1, 2007
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 10, 2005 - October 16, 2006
CHARLES SCHWAB & CO., INC.
November 5, 2004 - February 14, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 29, 2003 - October 21, 2004
E*TRADE SECURITIES LLC
April 28, 2003 - June 26, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
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 7TO
Date: 2/14/2020
General Securities Representative ExaminationCurrent 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
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.
