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Sumit Agarwal

Principal Asset Management

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About Sumit Agarwal

Sumit Agarwal is a Registered Representative with Principal Asset Management. Sumit has been in the industry since 2011. Sumit holds the Series 63, Series 7 and SIE licenses. Sumit currently works out of the Columbus, OH branch office of Principal Asset Management.

Firm Information

Sumit Agarwal is currently registered with Principal Asset Management. Principal Asset Management is a large investment advisor based in Des Moines, Iowa, with over 700 investment advisory professionals. They manage over $377 billion in assets for a diverse client base, including individuals, businesses, institutions, and pooled investment vehicles. The firm offers a wide range of investment advisory services, including asset allocation, portfolio management, and spread lending management. They also provide educational seminars and select other advisors for their clients.
Principal Asset Management

801 GRAND AVE

DES MOINES, IA 50392-0001

$377.22B

Assets Under Management

98

Total Clients

119

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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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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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 businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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spread lending management and advice; asset allocation services; providing model portfolios

Spread lending management and advice; asset allocation services; providing model portfolios

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

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

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

Charge on a cost allocation basis to principal life

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Sumit Agarwal’s Registration & Firm History

OH

09/13/2024 - Present

Principal Asset Management (Columbus OH)

MD

07/16/2014 - 11/20/2023

PROFUNDS DISTRIBUTORS, INC. (BETHESDA MD)

MD

06/18/2013 - 06/24/2014

CALVERT INVESTMENT DISTRIBUTORS, INC. (BETHESDA MD)

NJ

09/30/2011 - 04/18/2013

PROEQUITIES, INC. (SOMERSET NJ)

NJ

08/25/2010 - 11/19/2010

HENNION & WALSH, INC. (PARSIPPANY NJ)

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Licenses & Designations

BC

Issued 12/01/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/23/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sumit Agarwal.
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