Megan E. Branham
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.
Megan E Branham, who also goes by Megan Elizabeth Branham, Megan Branham, Megan Elizabeth Trapp, was a registered financial professional .
Megan is a previously registered financial professional and started their career in finance in 2007. Megan had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2024 - June 9, 2026
PRINCIPAL ASSET MANAGEMENT
January 24, 2024 - June 9, 2026
PRINCIPAL FUNDS DISTRIBUTOR, INC.
October 17, 2016 - February 13, 2024
PRINCIPAL SECURITIES, INC.
August 4, 2016 - June 9, 2026
PRINCIPAL SECURITIES, INC.
July 6, 2015 - May 17, 2016
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
July 6, 2015 - May 17, 2016
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 29, 2010 - July 1, 2015
LOCKTON INVESTMENT SECURITIES, LLC
December 1, 2009 - July 1, 2015
LOCKTON INVESTMENT ADVISORS, LLC
June 14, 2007 - November 11, 2009
STRATEGIES CAPITAL MANAGEMENT
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 |
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.
