MB
Megan E. Branham
PRINCIPAL ASSET MANAGEMENT
Denver, CO 80237
Some features on this profile are disabled
CRD#: 5294538
MB
Professional summary
Megan E Branham, who also goes by Megan Elizabeth Branham, Megan Branham, Megan Elizabeth Trapp, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Denver, Colorado and PRINCIPAL SECURITIES, INC. located in Denver, Colorado.
Megan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Megan has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Megan Elizabeth Branham | Megan Branham | Megan Elizabeth Trapp
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) Rental Property - Owner, Condo ownership, all landlord duties handled by property management firm. Not investment related. 39 E Agate Ave #206 Las Vegas, NV 89123. 2) Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, LLC and its affiliates. 1 hr per month, 0 hrs during trading. Effective May 2017.
CRS (Client Relationship Summary) - RIA
Click below to view Megan E Branham'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
March 14, 2024 - Present
PRINCIPAL ASSET MANAGEMENT
Office #1: 4600 S Syracuse Ste 1010, Denver, CO 80237RIA
CRD#: 109002
Denver, CO
Current
August 4, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4600 S Syracuse Ste 1010, Denver, CO 80237RIA
BD
CRD#: 1137
Denver, CO
Current
January 24, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 4600 S Syracuse Ste 1010, Denver, CO 80237BD
CRD#: 43261
Denver, CO
Past
October 17, 2016 - February 13, 2024
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Denver, CO
Past
July 6, 2015 - May 17, 2016
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
ENGLEWOOD, CO
Past
July 6, 2015 - May 17, 2016
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
January 29, 2010 - July 1, 2015
LOCKTON INVESTMENT SECURITIES, LLC
BD
CRD#: 137476
DENVER, CO
Past
December 1, 2009 - July 1, 2015
LOCKTON INVESTMENT ADVISORS, LLC
RIA
CRD#: 144133
KANSAS CITY, MO
Past
June 14, 2007 - November 11, 2009
STRATEGIES CAPITAL MANAGEMENT
RIA
CRD#: 114035
DENVER, CO
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
Alaska(2/13/2024)
RR
Arizona(2/12/2024)
RR
California(2/12/2024)
RR
Colorado(1/24/2024)
IAR
Colorado(3/14/2024)
RR
Hawaii(2/12/2024)
RR
Idaho(2/12/2024)
RR
Louisiana(2/12/2024)
RR
Montana(2/12/2024)
RR
Nevada(2/13/2024)
RR
New Mexico(2/12/2024)
RR
Oregon(2/13/2024)
RR
Texas(2/12/2024)
RR
Utah(2/13/2024)
RR
Washington(2/12/2024)
RR
Wyoming(2/12/2024)
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.
