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Brett Andrew Dubay

Principal Asset Management
30 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement Planning
Principal Asset Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
119 advisors
Number of Clients
7,399 clients
Average Client Portfolio
$49.2M average
Assets Under Management
$364.0B

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only

Location

Mission Hills, KS

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Brett is an access/supervised person of Principal Global Investors, LLC, and performs certain functions for them and their affiliates.

Employment History
Current Registrations
Principal Asset Management
November 2018 - Present · 7 yrs 3 mos
Principal Funds Distributor, INC.Broker
January 2010 - Present · 16 yrs 1 mo
Principal Funds Distributor, INC.
January 2010 - Present · 16 yrs 1 mo
Principal Securities, INC.Broker
October 2006 - Present · 19 yrs 4 mos
Principal Securities, INC.
October 2006 - Present · 19 yrs 4 mos
Previous Registrations
Principal Securities, INC.
November 2018 - November 2018 · 0 mos
Principal Securities, INC.
October 2007 - October 2018 · 11 yrs
Fidelity Investments Institutional Services Company, INC.Broker
February 1998 - June 2006 · 8 yrs 4 mos
Walnut Street Securities, INC.Broker
March 1995 - February 1998 · 2 yrs 11 mos
State Registrations14 states
ARCOIAKSLAMNMONDNENMOKSCSDTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.