James M. Murdoch

PRINCIPAL FUNDS DISTRIBUTOR

DES MOINES, IA 50392

Some features on this profile are disabled

CRD#: 6326792

Professional summary

James Matthew Murdoch, who also goes by Matt Murdoch, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matt Murdoch

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 James Matthew Murdoch'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 10, 2024 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 711 High Street, Des Moines, IA 50392

CRD#: 43261

DES MOINES, IA

Past

December 11, 2018 - September 30, 2024

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230

Boston, MA

Past

May 27, 2015 - December 10, 2018

STANDARD LIFE INVESTMENTS SECURITIES LLC

CRD#: 157233

BOSTON, MA

Past

June 18, 2014 - May 21, 2015

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

State Registrations and Notice Filings

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

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

Connecticut
(11/22/2024)

District of Columbia
(11/22/2024)

Illinois
(11/22/2024)

Maine
(11/22/2024)

Massachusetts
(10/10/2024)

Michigan
(11/22/2024)

Minnesota
(11/22/2024)

New Jersey
(11/22/2024)

New York
(11/22/2024)

Pennsylvania
(11/22/2024)

Exams

State Security Law Exam

Series 63

Date: 7/17/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/27/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/18/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

Similar Advisors

Rajpreet Sangha

PRINCIPAL SECURITIES, INC.

IAR

Tracy, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Murdoch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Matthew Murdoch's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

ABERDEEN FUND DISTRIBUTORS, LLC

STANDARD LIFE INVESTMENTS SECURITIES LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/17/2014

SIE

Date: 10/1/2018

Series 3

Date: 10/27/2015

Series 7

Date: 6/18/2014

FINRA

Current Firm

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PRINCIPAL FUNDS DISTRIBUTOR, INC.

TRUST BUT VERIFY

Similar Advisors