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James Michael Berg

Principal Advised Services

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About James Michael Berg

James Michael Berg is a financial professional with over 30 years of experience in the financial services industry. James is currently registered as an Investment Advisor Representative with Principal Advised Services. James is also registered in 51 states and the District of Columbia as a broker, and as an Investment Advisor Representative in Iowa. James has a broad range of experience working with both individual investors and businesses. He has worked with Principal Life Insurance Company, Principal Securities, Inc and Principal Advised Services.

Firm Information

James Berg is currently registered with Principal Advised Services. Principal Advised Services is a registered investment advisor based in Des Moines, IA. They offer portfolio management for individuals and selection of other advisors. The firm manages $569,489,941 in regulatory assets under management, primarily for individuals other than high-net-worth individuals. They also have a wrap fee program.
Principal Advised Services

655 9TH STREET

DES MOINES, IA 50309

$569.49M

Assets Under Management

1,268

Total Clients

144

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Berg’s Registration & Firm History

IA

05/20/2024 - Present

Principal Advised Services (CARLISLE IA)

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Licenses & Designations

IA

Issued 12/21/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/29/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/15/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/09/1996

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/1997

Series 7 - General Securities Representative Examination

BC

Issued 12/15/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Michael Berg.
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