CA
Colin J. Arnold
PRINCIPAL ASSET MANAGEMENT
Willowbrook, IL
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CRD#: 6351236
CA
Professional summary
Colin Joseph Arnold is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Willowbrook, Illinois and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Colin has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Colin Joseph Arnold's 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®
NoneExperience
Current
January 8, 2026 - Present
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Willowbrook, IL
Current
January 9, 2026 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
February 3, 2025 - October 2, 2025
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
Chicago, IL
Past
February 26, 2021 - March 25, 2021
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
RIA
CRD#: 36155
CHICAGO, IL
Past
February 26, 2021 - January 23, 2026
PT ASSET MANAGEMENT, LLC
RIA
CRD#: 107619
CHICAGO, IL
Past
February 23, 2021 - January 31, 2025
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
CHICAGO, IL
Past
July 11, 2019 - February 16, 2021
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
CHICAGO, IL
Past
September 29, 2015 - May 30, 2019
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Downers Grove, IL
Past
September 29, 2015 - May 30, 2019
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
DOWNERS GROVE, IL
Past
October 14, 2014 - August 31, 2015
EDWARD JONES
RIA
CRD#: 250
BARRINGTON, IL
Past
August 12, 2014 - August 31, 2015
EDWARD JONES
BD
CRD#: 250
BARRINGTON, IL
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
IAR
Illinois(1/8/2026)
RR
Illinois(1/9/2026)
RR
Indiana(2/13/2026)
RR
Wisconsin(1/9/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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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)
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 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 |
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.
