Stephanie Weimer
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.
Stephanie Weimer was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2007. Stephanie had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, 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 28, 2017 - September 4, 2018
PRINCIPAL ASSET MANAGEMENT
January 17, 2017 - August 8, 2018
PRINCIPAL FUNDS DISTRIBUTOR, INC.
May 15, 2015 - January 10, 2017
GUGGENHEIM INVESTMENTS
May 15, 2015 - January 10, 2017
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
March 7, 2014 - May 18, 2015
BNY MELLON SECURITIES CORPORATION
February 25, 2014 - May 18, 2015
BNY MELLON SECURITIES CORPORATION
June 20, 2008 - January 15, 2014
VOYA INVESTMENT MANAGEMENT CO. LLC
March 4, 2008 - January 15, 2014
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 24, 2007 - March 10, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
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
Current Firm
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
Contact information
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.
