Sumit Kumar Agarwal | Financial Professional

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.

Sumit Kumar Agarwal, who also goes by Sam Agarwal, Sumit K Agarwal, Sumit Kumar Agarwal, was a registered financial professional .

Sumit is a previously registered financial professional and started their career in finance in 2010. Sumit had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Sam Agarwal | Sumit K Agarwal | Sumit Kumar Agarwal

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 13, 2024 - January 13, 2026

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Grandview Heights, OH

Past

December 11, 2023 - January 13, 2026

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD

CRD#: 43261

Stamford, CT

Past

July 16, 2014 - November 20, 2023

PROFUNDS DISTRIBUTORS, INC.

BD

CRD#: 19541

BETHESDA, MD

Past

June 18, 2013 - June 24, 2014

CALVERT INVESTMENT DISTRIBUTORS, INC.

BD

CRD#: 37527

BETHESDA, MD

Past

September 30, 2011 - April 18, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD

CRD#: 15708

SOMERSET, NJ

Past

August 25, 2010 - November 19, 2010

HENNION & WALSH, INC.

BD

CRD#: 25766

PARSIPPANY, NJ

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

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/7/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/1/2010

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: 8/23/2010

General Securities Representative Examination

Current Firm

PA

PRINCIPAL ASSET MANAGEMENT

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 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	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.

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Advisor Monitoring

Firm Stability Insights

Sumit K. Agarwal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PROFUNDS DISTRIBUTORS, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

HENNION & WALSH, INC.

Primary Firm SEC Registration

PRINCIPAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/2024

Series 63

Date: 12/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2010

Current Firm

PRINCIPAL ASSET MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ASSET MANAGEMENT

TRUST BUT VERIFY

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