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Detailed Report
Andrew Slattenow
AJ Slattenow
CRD#: 7837239
IA
Investment Adviser
B
Broker
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 Des Moines, IA
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 711 HIGH STREET
DES MOINES, IA 50392
Registration History
AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (1 year)
License(s)

State Registrations

B
Iowa 2/20/2024
IA
Iowa 2/20/2024

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)
Des Moines, IA
Registered with this firm since 2/20/2024
B
PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261)
711 HIGH STREET, DES MOINES, IA 50392
Des Moines, IA
Registered with this firm since 1/1/2024
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.