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WILLIAM NICKOLAS LEFLER
NICK LEFLER
CRD#: 2881502
IA
B
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 711 HIGH STREET
DES MOINES, IA 50392
DES MOINES, IA 50392
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 711 HIGH STREET
DES MOINES, IA 50392
DES MOINES, IA 50392
0
Disclosures
27
Years of Experience
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State Registrations
IA
Iowa 6/20/2006
B
South Carolina 10/30/2024
B
Iowa 4/11/2016
B
Virginia 10/29/2024
B
North Carolina 1/13/2023
B
West Virginia 10/29/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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B
Registered with this firm since 1/15/2016
IA
Registered with this firm since 6/20/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/09/2023 - 11/19/2024 | DES MOINES, IA | |
B | 04/01/2019 - 01/21/2021 | DES MOINES, IA | |
B | 04/27/2017 - 11/14/2018 | DES MOINES, IA | |
B | 05/23/1997 - 04/11/2016 | DES MOINES, IA | |
IA | 01/10/2000 - 06/20/2006 | DES MOINES, IA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.