Brooke E. Bejan

PRINCIPAL FUNDS DISTRIBUTOR

DES MOINES, IA 50392

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CRD#: 5022262

Professional summary

Brooke Elaine Bejan is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

Brooke is registered as a RR (Registered Representative) and started their career in finance in 2006. Brooke has worked at 5 firms and has passed the SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brooke Elaine Bejan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 19, 2024 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 711 High Street, Des Moines, IA 50392

CRD#: 43261

DES MOINES, IA

Past

April 5, 2023 - September 16, 2024

CREATIVEONE SECURITIES, LLC

CRD#: 152974

OVERLAND PARK, KS

Past

September 7, 2016 - March 16, 2023

MSEC, LLC

CRD#: 154327

Overland Park, KS

Past

January 26, 2011 - August 29, 2016

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

July 15, 2009 - December 4, 2009

CBOE TRADING, INC.

CRD#: 136734

KANSAS CITY, MO

Past

January 1, 2006 - July 17, 2009

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Brooke E. Bejan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brooke Elaine Bejan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE SECURITIES, LLC

MSEC, LLC

WADDELL & REED

CBOE TRADING, INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2005

Series 14

Date: 1/2/2023

Series 24

Date: 5/26/2006

FINRA

Current Firm

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PRINCIPAL FUNDS DISTRIBUTOR, INC.

TRUST BUT VERIFY

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