Unclaimed Profile

David James Brown

PRINCIPAL MANAGEMENT CORP·DES MOINES, Iowa

SIE, Series 7, Series 24, Series 6526 years registeredPRINCIPAL MANAGEMENT CORP

801 GRAND AVENUE, DES MOINES, IA 50392-2080CRD# 3161920Firm CRD# 105641

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David James Brown · DES MOINES, IA

Registration

CRD #3161920 · PRINCIPAL MANAGEMENT CORP · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PRINCIPAL MANAGEMENT CORP

PRINCIPAL SECURITIES, INC.

Jan 2000 – May 2018

DES MOINES, IA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 65

Registration record

First registered · January 12, 2000

Years registered · 26

Disclosure History

2015Civil·Pending

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

PRINCIPAL MANAGEMENT CORP

CRD 105641 · SEC 801-8144

AUM

$183.1B

Regulatory assets under management

Employees

178

148 client accounts

Services offered by PRINCIPAL MANAGEMENT CORP

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at PRINCIPAL MANAGEMENT CORP →

Introduction

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Frequently Asked Questions

What services does David James Brown offer?

David James Brown specializes in Investment Management, Retirement Planning, Wealth Management, Fee-Only Advisory.

What are David James Brown's credentials?

David James Brown is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David James Brown located?

David James Brown is based in DES MOINES, Iowa, last registered with PRINCIPAL MANAGEMENT CORP.

How does David James Brown charge for services?

David James Brown's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRINCIPAL MANAGEMENT CORP?

PRINCIPAL MANAGEMENT CORP has approximately 178 employees and manages $183.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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