STEPHEN H. MULDROW
Indianola,IA
Summary
Experienced in retirement plan transitions, advisor and participant support, and cross-team leadership. Proven track record of process improvement, advisor collaboration, and exceeding sales targets. Known for clear communication, relationship building, and solution-oriented service delivery.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Retirement Roll-In Specialist
Principal
11.2024 - Current
- Act as a single point of contact for plan participants, advisors, and plan administrators regarding rollover transactions. Help streamline and resolve complex transactions and manage all stakeholders.
- Provided support for advisor service needs, work with Marlene Dixon for advisor's who want a tailored approach for their clients.
- Exceeded YTD team average by 33% or closed rollovers through internal and external relationships for pipeline development.
Retirement Onboarding Specialist
Principal Financial Group
04.2022 - 11.2024
- Review unique plan design and highlight plan administrator and advisor selected portions for participant education on new and transitioning plans.
- Serve as a subject matter resource on best practices for plan roll-ins and in-plan advice sales techniques. Saw a 100% increase over average of referrals for in-plan advice appointments.
- Be a one stop shop for participants, advisors, and plan administrators on the qualified plan enrollment process and other Principal offerings.
Shared Services Growth Assignment
Principal Financial Group
06.2023 - 06.2024
- Delivered internal training sessions to enhance familiarity with tools and procedures across departments.
- Offered coaching to leadership and frontline representatives, contributing to improved customer experience metrics.
- Used analytics to assess service patterns and inform targeted process improvements.
Client Service Manager – Non-Qualified Plans
Principal Financial Group
07.2021 - 04.2022
- Worked directly with plan representatives, their advisors, and Principal partners to resolve complex service issues, guide plan amendments and improve plan operations.
- Led client and internal initiatives involving plan changes, education presentations, and project roll outs where I managed multiple stakeholders to align with client goals and internal asset goals.
- Provided customer education and pipeline development with marketing to support plan retention and long term growth for broader departmental goals. Saw a 100% retention rate from Wells transition plans.
Learning and Development Growth Assignment
Principal Financial Group
01.2021 - 07.2021
- Facilitated training for new hires and teams during Wells Fargo transition.
- Delivered virtual and in-person onboarding content to ensure staff readiness. Adjusted existing training materials and developed new training content as processes changed.
- Collected feedback to improve future learning initiatives.
Retirement Onboarding Specialist
Principal Financial Group
03.2018 - 07.2021
- Guided plan participants through onboarding processes and supported advisor communications.
- Developed a strong foundation in qualified plan operations and participant needs.
- Earned a 93 on the Series 6 licensing exam.
Circulation/Technical Services Assistant
Bloomingdale Public Library
04.2014 - 01.2018
- Managed scheduling for library staff and assisted in technical services.
- Trained new hires and acted as point of contact in system consortium meetings.
Circulation Assistant
Harris County Public Library
03.2014 - 04.2015
- Promoted library programs and events to local communities.
Youth Assistant
Berean Baptist
06.2013 - 02.2014
- Designed and implemented youth programming that led to increased participation.
Education
Bachelor of Science - Individualized Studies: Business and History
Charter Oak State College
New Britain, CT05.2011
Skills
- Series 6, 63, and 65
- Stakeholder Communication
- Advisor and Participant Support
- Staff Coaching and Training
- Workflow Optimization and Automation
- Analytical Problem-Solving
- Customer Experience Enhancement
- Enterprise-level product awareness
Certification
- FINRA Series 6, Active
- FINRA Series 63, Active
- FINRA Series 65, Active
- FINRA Series 7, In Progress, 07/01/25
- Resident Life and Health, In Progress 11/01/2025
Timeline
Retirement Roll-In Specialist
Principal
11.2024 - Current
Shared Services Growth Assignment
Principal Financial Group
06.2023 - 06.2024
Retirement Onboarding Specialist
Principal Financial Group
04.2022 - 11.2024
Client Service Manager – Non-Qualified Plans
Principal Financial Group
07.2021 - 04.2022
Learning and Development Growth Assignment
Principal Financial Group
01.2021 - 07.2021
Retirement Onboarding Specialist
Principal Financial Group
03.2018 - 07.2021
Circulation/Technical Services Assistant
Bloomingdale Public Library
04.2014 - 01.2018
Circulation Assistant
Harris County Public Library
03.2014 - 04.2015
Youth Assistant
Berean Baptist
06.2013 - 02.2014
Bachelor of Science - Individualized Studies: Business and History
Charter Oak State College
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