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Detailed Report
Emily Joyce Marr
CRD#: 7415719
IA
Investment Adviser
B
Broker
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 711 High Street
Des Moines, IA 50392
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 Arlington, TX
Registration History
2021202220232024202520262 FIRMS2023 - Present (1 year)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2021 - 2023 (1 year)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2022 - 2023 (1 year)
License(s)

State Registrations

IA
Iowa 12/11/2023
B
Texas 11/30/2023

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 12/11/2023
B
PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261)
Arlington, TX
Registered with this firm since 11/30/2023
Previous Registration(s)
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IA
 06/14/2022 - 11/28/2023 PRINCIPAL SECURITIES, INC. (CRD#:1137) Fort Worth, TX
B
 12/10/2021 - 11/28/2023 PRINCIPAL SECURITIES, INC. (CRD#:1137) Fort Worth, TX
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.