JF
John B. Franklin
PRINCIPAL SECURITIES
Overland Park, KS 66210
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CRD#: 1430877
JF
Professional summary
John Brian Franklin, who also goes by John B Franklin, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Overland Park, Kansas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John B Franklin
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.
CLEARWATER WEALTH MANAGEMENT (DBA) POSITION: Partner NATURE: Financial Strategies/Needs Analysis, Life Insurance/Annuities, Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2025 ADDRESS: 11101 Switzer Road, Suite 100, Overland Park KS 66210, United States DESCRIPTION: Soliciting and selling financial products, services and 401k's.
CRS (Client Relationship Summary) - RIA
Click below to view John Brian Franklin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Brian Franklin'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®
NoneExperience
Current
July 8, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Current
July 7, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Past
January 15, 2025 - May 28, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
KANSAS CITY, MO
Past
November 26, 2019 - January 2, 2025
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SHELL KNOB, MO
Past
November 26, 2019 - January 2, 2025
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SHELL KNOB, MO
Past
February 7, 2012 - December 6, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHELL KNOB, MO
Past
December 7, 2010 - January 23, 2012
V WEALTH ADVISORS LLC
RIA
CRD#: 153278
OVERLAND PARK, KS
Past
November 30, 2010 - December 6, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
SHELL KNOB, MO
Past
November 20, 2007 - December 1, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
KANSAS CITY, MO
Past
November 20, 2007 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
KANSAS CITY, MO
Past
September 1, 2005 - December 31, 2007
RPCG, INC.
RIA
CRD#: 136992
KANSAS CITY, MO
Past
November 8, 2002 - December 3, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEAWOOD, KS
Past
November 8, 2002 - December 3, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
LEAWOOD, KS
Past
September 27, 1995 - October 15, 2002
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
OVERLAND PARK, KS
Past
September 20, 1995 - October 15, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 18, 1990 - September 26, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 17, 1985 - June 14, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(7/7/2025)
RR
Colorado(7/8/2025)
RR
Iowa(7/18/2025)
RR
Kansas(7/7/2025)
IAR
Kansas(7/8/2025)
RR
Missouri(7/7/2025)
RR
Oregon(9/15/2025)
RR
Texas(7/7/2025)
IAR
Texas(7/8/2025)
RR
Wisconsin(7/9/2025)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Overland Park, KS 66210TRUST BUT VERIFY
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