Derek Stephen Dunn Jr.
Investment Adviser Representative at Principal Asset Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Derek Stephen Dunn Jr. is an investment adviser representative with Principal Asset Management in Wando, SC, where they have been registered since 2023. They have worked in the securities industry since 2022 and were previously registered with MML Investors Services, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in South Carolina.
Registrations & licenses
- Investment adviser:
- South Carolina
- Broker:
13 states and territories
Alabama, Arkansas, Florida, Georgia, Kentucky, Louisiana, Maryland, Mississippi, North Carolina, South Carolina, Tennessee, Virginia, West Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Mass Mutual Life Insurance CompanyJul 2020 – Dec 2021Guilford, CT
- MML Investors Services, LLCJan 2020 – Dec 2021Guilford, CT
- Fairfield UniversitySep 2016 – May 2020Fairfield, CT
- Morgan StanleyJun 2019 – Aug 2019Westport, CT
- Town of MadisonMay 2017 – Aug 2018Madison, CT
- Aon Investments USADec 2021 – Mar 2023Norwalk, CT
- Principal Funds DistributorApr 2023 – no end date reportedCharlotte, NC
- Principal Asset ManagementMay 2023 – no end date reportedCharlotte, NC
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Principal Asset Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 124
- Offices listed on AdvisorFinder:
- 20
- Main office:
- Des Moines, IA
- SEC file number:
- 801-55959
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 28, 2026
View full firm profileOther advisors at Principal Asset Management
Showing 12 of 124 in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Derek Stephen Dunn Jr. has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched