Lindsey D. Zimmerman
Professional summary
Lindsey Dodd Zimmerman, who also goes by Lindsey Vonstaden Dodd, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Charlotte, North Carolina.
Lindsey is registered as a RR (Registered Representative) and started their career in finance in 2010. Lindsey has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lindsey Dodd Zimmerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 28, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262January 24, 2024 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262December 4, 2023 - February 13, 2024
PRINCIPAL SECURITIES, INC.
August 15, 2019 - October 27, 2023
DIMENSIONAL FUND ADVISORS LP
August 12, 2019 - October 27, 2023
DFA SECURITIES LLC
September 29, 2010 - June 16, 2011
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 7TO
Date: 8/12/2019
General Securities Representative ExaminationFINRA
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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