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Thomas Edward Sueppel

Principal Advised Services

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About Thomas Edward Sueppel

Thomas Edward Sueppel is a financial professional with over 20 years of experience in the industry. Thomas has been registered with the state of Iowa since 2004 and currently works at Principal Advised Services. Thomas has earned several licenses and certifications including Series 6, 7, 24, 63, and 66. Thomas is a licensed agent in 51 states and the District of Columbia. Thomas specializes in individual and retirement plan investment advice.

Firm Information

Thomas Sueppel 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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Thomas Sueppel’s Registration & Firm History

IA

10/31/2022 - Present

Principal Advised Services (Des Moines IA)

IA

09/26/2007 - 09/23/2008

PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)

IA

07/29/1992 - 12/13/1995

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

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Licenses & Designations

BOTH

Issued 04/13/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/09/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/14/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2003

Series 7 - General Securities Representative Examination

BC

Issued 07/27/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Edward Sueppel.
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