Ian WetherellCRD Number: 3268484
Current Firm: Principal Global Investors, LLC
Ian Wetherell (CRD# 3268484) is an Investment Advisor Representative working at Principal Global Investors, LLC in Concord, CA and has over 22 years of experience in the finance industry.
Monetary Management Corporation
Perigon Wealth Management, LLC
Lowery Thomas, LLC
|Principal Funds Distributor, Inc.||Des Moines, IA||Dec 2019 - Current||2|
|Nationwide Investment Services Corporation||Columbus, OH||Sep 2013 - Dec 2019||6|
|Highmark Funds Distributors, Inc.||King Of Prussia, PA||Feb 2009 - Sep 2013||4|
|Highmark Funds||San Francisco, CA||Jan 2009 - Sep 2013||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1999|
|S65||NASAA Investment Advisors Law Examination||Oct 1999|
|S66||NASAA Uniform Combined State Law Examination||Nov 2021|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management340,214MILLIONS
Total Number of Accounts8,616ACCOUNTS
Average Account Value$39,486,294
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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