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David James Brown

Firm:
Principal Funds Distributor, Inc.
Additional Firms:
Principal Management Corp
Senior Vice President
...(see more)
Type: Dual Registration
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Description

David Brown an executive and has an ownership stake of Princor Financial Services Corporation, a broker-dealer with over 2,800 registered representatives nationwide. David is also registered with Principal Funds Distributor, Inc.. David has held an industry securities registration for 13 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

David James Brown has not answered any questions on Financial Q&A.

Top Guides

David James Brown has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
Principal Management Corp 8 years, 8 months Sep 2004 - Present
Princor Financial Services Corporation 14 years, 6 months Nov 1998 - Present
Principal Life Ins 19 years, 1 month Apr 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/07/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
11/07/2011
10/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 11/30/1999
General Securities Principal Examination Series 24 03/24/1999
General Securities Representative Examination Series 7 02/08/1999

Firm Compensation Arrangements

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No compensation arrangements listed.