RU
Ralph J. Ulferts
PRINCIPAL SECURITIES
Anamosa, IA 52205
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CRD#: 1803867
RU
Professional summary
Ralph Jeffrey Ulferts, ChFC®, who also goes by Jeff Ulferts, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Anamosa, Iowa.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Ralph has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Ulferts
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.
***OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, DISABILITY INSURANCE, LONG TERM CARE INSURANCE AND FIXED ANNUITIES THROUGH VARIOUS CARRIERS, 10/23/14. ***RENTAL PROPERTY, OWNER, 6/11/15. ***NAIFA, FSCP Class Moderator, 09/14/16. ***Variety Club of East Iowa; Not Investment Related; Cedar Rapids, IA 52401; Board Member; Board Member, no leadership or executive duties. One of 20 board members for the local Variety Club. No check handling, or check writing privileges. General duties of fundraising, helping at fundraising events, screening potential organizations to receive funds.; Start Date: 08/01/2019; 1 hrs per month; 1 during trading hours. A&J RENTALS, LLC POSITION: Owner NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 1406 Goldfinch Ct NE, Swisher IA 52338, United States DESCRIPTION: My spouse (Angela) and I created an LLC to place our rental properties in and filed this entity with the State of Iowa. My spouse is sole owner in the LLC but I am listed as authorized to conduct business on behalf of the LLC and our rental properties.
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Jeffrey Ulferts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph Jeffrey Ulferts'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
March 9, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 106 S Ford St, Anamosa, IA 52205Office #2: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Anamosa, IA
Current
October 7, 1993 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 106 S Ford St, Anamosa, IA 52205Office #2: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Anamosa, IA
Past
July 19, 1988 - October 5, 1993
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 19, 1988 - October 5, 1993
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Arizona(8/12/2021)
RR
California(2/16/2023)
RR
Colorado(9/10/2020)
RR
District of Columbia(12/8/2023)
RR
Florida(6/24/2020)
RR
Illinois(9/25/2017)
RR
Iowa(10/7/1993)
IAR
Iowa(3/9/2015)
RR
Minnesota(11/2/2017)
RR
Missouri(3/17/2016)
RR
Nebraska(11/3/2022)
RR
North Carolina(4/22/2021)
RR
Oklahoma(9/24/2025)
RR
Texas(12/13/2020)
IAR
Texas(3/7/2021)
RR
Utah(6/24/2025)
RR
Wisconsin(5/13/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 1137Anamosa, IA 52205TRUST BUT VERIFY
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