GP
Gregory D. Pittenger
PRINCIPAL ASSET MANAGEMENT
Raleigh, NC
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CRD#: 4868251
GP
Professional summary
Gregory David Pittenger, who also goes by Gregory Pittenger, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Raleigh, North Carolina and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Gregory has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory Pittenger
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) GSP Ventures Inc, GSP Endeavor LLC. Non-investment related business. 12201 The Gates Drive, Raleigh, NC 27614. Eyelash Extension salon. Owner.- Owner - have full time manager that manages the day-to-day of the business. Start Date: 09/2017 20 hours/month, 0 during trading hours. 3) TLL Investment Salon IV LLC. Non-investment related business. 1301 W Long Lake Road, Suite 250 Troy, MI 48098.Eyelash Extension salon - The Lash Lounge Windmoor. Co-owner, Have full time manager that manages the day-to-day of the business. Start Date: 04/01/2001 1 hours/week, 0 during trading hours. 4) GPBC Endeavor, LLC - Owner of salon business with wife, 12201 The Gates Drive, Raleigh NC 27614. Not Investment Related. 1 hr per week, 0 hrs during training.. Effective 08/17/2021.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory David Pittenger'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
August 20, 2019 - Present
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Raleigh, NC
Current
August 19, 2019 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
July 9, 2019 - July 24, 2019
STRATEGIC BLUEPRINT, LLC
RIA
CRD#: 284840
Raleigh, NC
Past
December 20, 2018 - July 22, 2019
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
RALEIGH, NC
Past
September 17, 2018 - July 22, 2019
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
RALEIGH, NC
Past
February 11, 2016 - June 19, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
November 11, 2004 - December 31, 2015
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
CHICAGO, IL
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(8/19/2019)
RR
Arkansas(8/19/2019)
RR
Delaware(1/15/2020)
RR
District of Columbia(10/11/2019)
RR
Florida(8/19/2019)
RR
Georgia(8/19/2019)
IAR
Iowa(8/20/2019)
RR
Kansas(8/19/2019)
RR
Louisiana(8/19/2019)
RR
Maryland(8/19/2019)
RR
Mississippi(8/19/2019)
RR
Missouri(8/19/2019)
RR
North Carolina(8/19/2019)
RR
Oklahoma(8/19/2019)
RR
Pennsylvania(5/6/2025)
RR
South Carolina(8/19/2019)
RR
Tennessee(8/19/2019)
RR
Virginia(8/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
