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Sarah M. Nauman

PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
Some features on this profile are disabled
CRD#: 5679563
SN

Professional summary

Sarah Marie Nauman, who also goes by Sarah M Nordquist, Sarah Marie Nordquist, Sarah Nordquist, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2009. Sarah has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah M Nordquist | Sarah Marie Nordquist | Sarah Nordquist

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 Sarah Marie Nauman'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

October 27, 2015 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 711 High Street, Des Moines, IA 50392
BD
CRD#: 43261
DES MOINES, IA
Past

April 15, 2016 - September 5, 2018

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

December 17, 2012 - October 16, 2015

DIRECTED SERVICES LLC

BD
CRD#: 21675
DES MOINES, IA
Past

March 14, 2011 - December 18, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MINNEAPOLIS, MN
Past

January 27, 2011 - December 18, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

July 22, 2009 - November 24, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Iowa
(10/27/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 9/10/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/30/2020
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLCOWNER
BERG, JOHN THOMASDIRECTOR7973551
CLINES, SEAN THOMASCHIEF FINANCIAL OFFICER3055601
DESSOUKI, RAMONA HIATTCHIEF MARKETING OFFICER7812577
HILL, TIMOTHY ALLENNATIONAL SALES MANAGER/DIRECTOR2317289
HOESKE, DINA ROMEOSENIOR DIRECTOR - FUND SHAREHOLDER SERVICES2704646
MURRAY, MICHAEL FRANCISDIRECTOR2074275
SCHOLTEN, MICHAEL JOSEPHPRINCIPAL OPERATIONS OFFICER6388259
STOCKMAN, MICHELLE RENEECHIEF COMPLIANCE OFFICER5010490
WONG, BRANT KPRESIDENT/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.

Company Information

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261Des Moines, IA 50392

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