Alexander Glenn Yee

Principal Asset Management

11 Years of Experience

Broker

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

Fairfield, CT

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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.

Other Business Activities

Alexander is an access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.

Employment History

Current Registrations

Principal Asset Management

November 2022 - Present · 3 yrs 3 mos

Principal Funds Distributor, INC.

September 2022 - Present · 3 yrs 5 mos

Principal Funds Distributor, INC.Broker

September 2022 - Present · 3 yrs 5 mos

Previous Registrations

Franklin Distributors, LLCBroker

August 2014 - September 2022 · 8 yrs 1 mo

Northwestern Mutual Investment Services, LLCBroker

January 2014 - August 2014 · 7 mos

State Registrations7 states

CTMAMENHNYRIVT

AdvisorBrokerBoth

Exams

No exam information available for this advisor.