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Brett Cortelezzi

PRINCIPAL ASSET MANAGEMENT
Dublin, OH
Some features on this profile are disabled
CRD#: 5693496
BC

Professional summary

Brett Cortelezzi, who also goes by Brett T Cortelezzi, Brett Thomas Cortelezzi, Brett Cortelezzi, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Dublin, Ohio and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Stamford, Connecticut.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Brett has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brett T Cortelezzi | Brett Thomas Cortelezzi | Brett Cortelezzi

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) - RIA

Click below to view Brett Cortelezzi'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

May 11, 2026 - Present

PRINCIPAL ASSET MANAGEMENT

RIA
CRD#: 109002
Dublin, OH
Current

April 1, 2026 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 2 High Ridge Park Suite 2, Stamford, CT 06905
BD
CRD#: 43261
Stamford, CT
Past

July 27, 2015 - March 25, 2026

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 31, 2014 - July 21, 2015

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

August 30, 2012 - July 17, 2015

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
DUBLIN, OH
Past

January 11, 2012 - July 24, 2012

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
LAGRANGE, KY
Past

October 4, 2011 - July 24, 2012

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
LAGRANGE, KY
Past

November 10, 2010 - September 9, 2011

SCOTTRADE, INC.

BD
CRD#: 8206
COLUMBUS, OH

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
Kentucky
(4/1/2026)
RR
Ohio
(4/1/2026)
IAR
Ohio
(5/11/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/8/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/2010
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: 11/9/2010
General Securities Representative Examination
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
Registered Investment Advisory firm - (10/26/1998 Approved)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRINCIPAL ASSET MANAGEMENT 2025 ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts7,399
AUM (Assets Under Management)$ 364,035,359,901

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2025
Cover Page
Report
10/28/2024
Cover Page
Report
11/28/2023
Cover Page
Report
09/28/2023
Cover Page
Report

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 ASSET MANAGEMENT

CRD#: 109002Dublin, OH

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