Kristopher James Goeden
AIF®Professional Summary
Kristopher James Goeden, AIF® is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Des Moines, Iowa and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa. Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kristopher has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 51, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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PRINCIPAL SECURITIES, INC.
Videos & Posts
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PRINCIPAL SECURITIES, INC.
Contact Information
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PRINCIPAL SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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PRINCIPAL SECURITIES, INC.
Credentials
Years of Experience
20 years in the financial services industry
Current & Past Employments
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PRINCIPAL SECURITIES, INC.
Current Firm
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
Contact Information
Main Address
801 Grand Ave, Des Moines, IA 50392-0001Mailing Address
711 High Street, Des Moines, IA 50392-0001Phone Number
(800) 787-1621# of Employees
1,394SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
8,169AUM (Assets Under Management)
$427,712,721,629Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2026 | Cover Page | Report |
| 09/26/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 11/28/2023 | Cover Page | Report |
| 09/28/2023 | Cover Page | Report |
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PRINCIPAL SECURITIES, INC.
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.
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PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
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
State Registrations and Notice Filings
(10/8/2015)
(9/14/2015)
(10/9/2015)
(10/12/2015)
(8/28/2015)
(8/31/2015)
(9/11/2015)
(11/6/2015)
(9/14/2015)
(8/31/2015)
(9/11/2015)
(10/21/2015)
(9/11/2015)
(9/14/2015)
(9/16/2015)
(2/27/2012)
(10/30/2018)
(8/31/2015)
(10/12/2015)
(9/14/2015)
(9/14/2015)
(9/14/2015)
(10/9/2015)
(10/8/2015)
(9/18/2015)
(9/22/2015)
(9/14/2015)
(9/14/2015)
(9/11/2015)
(9/22/2015)
(9/21/2015)
(9/14/2015)
(9/14/2015)
(8/31/2015)
(9/14/2015)
(9/15/2015)
(9/11/2015)
(9/14/2015)
(10/15/2015)
(8/31/2015)
(9/14/2015)
(9/14/2015)
(9/15/2015)
(9/15/2015)
(9/11/2015)
(9/11/2015)
(10/9/2015)
(9/11/2015)
(9/14/2015)
(9/24/2015)
(9/1/2015)
(9/14/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kristopher James Goeden's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.
