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Detailed Report
RUSSELL JOHN ANTHOFER
CRD#: 4421512
IA
Investment Adviser
B
Broker
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 711 High Street
Des Moines, IA 50392
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 711 HIGH STREET
DES MOINES, IA 50392
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2019 - 2020 (1 year)2 FIRMS2024 - Present (1 year)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2020 - Present (4 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2018 - 2018 (<1 year)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2001 - 2017 (15 years)BPRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD# 43261)2012 - 2017 (4 years)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2020 - 2024 (3 years)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2008 - 2017 (9 years)
License(s)

State Registrations

B
Iowa 7/30/2020
IA
Iowa 3/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL ASSET MANAGEMENT (CRD#:109002)
711 High Street, Des Moines, IA 50392
Registered with this firm since 3/14/2024
B
PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261)
711 HIGH STREET, DES MOINES, IA 50392
BONDURANT, IA
Registered with this firm since 1/24/2024
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
BONDURANT, IA
Registered with this firm since 7/30/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/30/2020 - 04/05/2024 PRINCIPAL SECURITIES, INC. (CRD#:1137) DES MOINES, IA
IA
 01/11/2019 - 08/04/2020 PRINCIPAL GLOBAL INVESTORS (CRD#:109002) Des Moines, IA
B
 01/07/2019 - 08/04/2020 PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261) DES MOINES, IA
B
 10/31/2018 - 11/09/2018 PRINCIPAL SECURITIES, INC. (CRD#:1137) DES MOINES, IA
IA
 01/30/2008 - 02/23/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) DES MOINES, IA
B
 07/18/2001 - 02/23/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) DES MOINES, IA
B
 09/13/2012 - 01/30/2017 PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261) DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.