JM
James R. Mccann
PRINCIPAL SECURITIES
Bloomsburg, PA 17815
Some features on this profile are disabled
CRD#: 1189547
JM
Professional summary
James Robert Mccann, AIF®, who also goes by Jim Mccann, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Bloomsburg, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Mccann
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
***Fixed Insurance; Investment Related; 115 S Centre St, Pottsville, PA 17901; Health, Dental, Vision, LTD, Group, Life; Sales; Start Date: 07/29/2016; 40 hrs per month; during trading hours.
***Fixed Insurance; Investment Related; 115 S Centre St, Pottsville, PA 17901; LTC, DI; Sales; Start Date: 03/16/2018; 10 hrs per month; 10 during trading hours.
***Rental Property; Not Investment Related; 570A Dutch Hill Road, Bloomsburg Pa. 17815; Owner; No active duties; Start Date: 01/01/1984; 0 hrs per month; 0 during trading hours.
***McGriff Insurance Services; Investment Related; 115 S Centre St, Pottsville, PA 17901; Insurance Agent; Sales of fixed insurance.; Start Date: 06/25/2018; 70-80 hrs per month; 70-80 during trading hours.
***Central Susquehanna Sight Services; Not Investment Related; 348 Market St, Sunbury, PA 17801; Board Chair, Finance Committee; Discuss associations finances and allocations of organization assets. Assist with fundraising.; Start Date: 01/01/2003; 1-2 hrs per month; 1-2 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Mccann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Robert Mccann's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 25, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1000 Market St Ste 33, Bloomsburg, PA 17815RIA
BD
CRD#: 1137
Bloomsburg, PA
Current
July 8, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1000 Market St Ste 33, Bloomsburg, PA 17815RIA
BD
CRD#: 1137
Bloomsburg, PA
Past
September 17, 2014 - July 7, 2016
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
POTTSVILLE, PA
Past
January 4, 2011 - September 16, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
POTTSVILLE, PA
Past
November 30, 2010 - February 3, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
POTTSVILLE, PA
Past
January 14, 2009 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
POTTSVILLE, PA
Past
October 23, 2007 - December 31, 2008
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
POTTSVILLE, PA
Past
July 21, 2005 - October 17, 2007
KNBT SECURITIES, INC.
BD
CRD#: 115372
POTTSVILLE, PA
Past
July 20, 2004 - July 21, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
May 1, 2003 - July 19, 2004
HACKETT ASSOCIATES, INC.
BD
CRD#: 2106
WYOMISSING, PA
Past
January 9, 2001 - May 12, 2003
T.H.E. FINANCIAL GROUP, LTD
BD
CRD#: 14720
MECHANICSBURG, PA
Past
April 16, 1993 - December 31, 2000
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
Past
October 19, 1983 - April 15, 1993
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(11/21/2020)
RR
Delaware(1/30/2020)
RR
Maryland(9/16/2020)
RR
Massachusetts(11/4/2020)
RR
Michigan(1/6/2024)
RR
Minnesota(5/1/2024)
RR
New Jersey(9/27/2017)
RR
New York(3/29/2019)
RR
Pennsylvania(7/8/2016)
IAR
Pennsylvania(8/25/2020)
RR
South Carolina(7/8/2016)
RR
Tennessee(1/27/2023)
RR
Virginia(1/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
