AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AS

Andre M. Sauls

PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
Some features on this profile are disabled
CRD#: 6167980
AS

Professional summary

Andre Michael Sauls, who also goes by Andre Michael Sauls, Andre Sauls, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

Andre is registered as a RR (Registered Representative) and started their career in finance in 2013. Andre has worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andre Michael Sauls | Andre Sauls

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 Andre Michael Sauls'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

December 17, 2024 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

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

April 8, 2013 - May 1, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DELRAN, NJ

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.

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/4/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/5/2013
Investment Company Products/Variable Contracts Representative 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Andre Sauls

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

RS
Rajpreet SanghaAdvisorCheck Check Mark
PRINCIPAL SECURITIES, INC.
IAR
RR
Tracy, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics