Alan Murdoch, financial advisor Ames IA
83 score

Alan Murdoch

CRD Number: 1274697
Current Firm: Principal Securities, Inc.

Alan Murdoch (CRD# 1274697) is an Investment Advisor Representative working at Principal Securities, Inc. in Ames, IA and has over 31 years of experience in the finance industry.

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Investment Advisors
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Company Name Location Dates Years
Princor Financial Services Corp Ames, IA Apr 2016 - Current < 1
Principal Ames, IA Apr 2016 - Current < 1
Transamerica Financial Advisors, Inc. Ames, IA Jan 1998 - Apr 2016 18
Iowa State University Ames, IA Aug 1969 - Apr 2016 46
Life Investors Financial Group, Murdoch Agency Ames, IA Jan 2007 - Jan 2012 5
Life Investors Ins. Company Ames, IA Jun 1978 - Jan 2012 33
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1985
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Alan J. Murdoch
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • IA
  • TX
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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