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Timothy I. Mahon

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CRD#: 6946928
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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.

Timothy Ian Mahon was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2018. Timothy had worked at 5 firms and has passed the Series 66, Series 52, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

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

December 18, 2024 - March 16, 2026

PRINCIPAL ASSET MANAGEMENT

RIA
CRD#: 109002
Media, PA
Past

December 18, 2024 - March 16, 2026

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
Media, PA
Past

December 1, 2023 - January 4, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
Cedar Rapids, IA
Past

August 1, 2023 - January 4, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Cedar Rapids, IA
Past

March 30, 2020 - April 3, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
PHILADELPHIA, PA
Past

June 30, 2018 - March 10, 2020

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
COLORADO SPRINGS, CO

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/1/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52
Date: 10/22/2018
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/30/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/24/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/31/2018
General Securities Principal Examination

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#: 109002

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