JM
Jonathan D. Moyer
PRINCIPAL SECURITIES
Wyomissing, PA 19610
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CRD#: 1877915
JM
Professional summary
Jonathan David Moyer, CFP®, ChFC®, CLU®, who also goes by Jon D Moyer, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wyomissing, Pennsylvania.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Jonathan has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon D Moyer
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,SALES OF TRADITIONAL LIFE, TERM, EMPLOYEE GROUP BENEFITS, HEALTH INSURANCE, LTC & TRAVEL ACCIDENT INSURANCE, 10/4/11. ***Outside Insurance, DI, Fixed Annuities, 08/14/17. P&C INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 10/01/2021 ADDRESS: 300 N Kenhorst Boulevard, Reading PA 19607, United States DESCRIPTION: Property and Casualty Insurance. Referring property and casualty business to outside insurance agencies and splitting the commissions. MIFS, LLC POSITION: Owner of an LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2010 ADDRESS: 875 Berkshire Bouelvard, Suite 105, Wyomissing PA 19610, United States DESCRIPTION: MIFS, LLC is sole member LLC, outside insurance and PSI commissions are paid to MIFS LLC and office expenses including rent, payroll, etc are paid out of MIFS LLC
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan David Moyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan David Moyer'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®
CFP®
Start date: 2005
Experience
Current
July 11, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 875 Berkshire Blvd Ste 105, Wyomissing, PA 19610RIA
BD
CRD#: 1137
Wyomissing, PA
Current
July 1, 1998 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 875 Berkshire Blvd Ste 105, Wyomissing, PA 19610RIA
BD
CRD#: 1137
Wyomissing, PA
Past
November 4, 1994 - June 30, 1998
HACKETT ASSOCIATES, INC.
BD
CRD#: 2106
WYOMISSING, PA
Past
May 11, 1994 - November 7, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Past
October 16, 1992 - November 7, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
January 3, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
January 3, 1989 - June 17, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, 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
Alabama(11/5/2015)
RR
Alaska(1/3/2020)
RR
Arizona(10/2/2023)
RR
California(7/18/2008)
RR
Colorado(6/28/2016)
RR
Connecticut(5/22/2024)
RR
Delaware(5/18/2012)
RR
District of Columbia(3/27/2024)
RR
Florida(5/3/2001)
RR
Georgia(3/16/2022)
RR
Indiana(8/24/2023)
RR
Iowa(9/12/2022)
RR
Kansas(8/4/2023)
RR
Louisiana(6/26/2019)
RR
Maine(6/6/2018)
RR
Maryland(10/3/2014)
RR
Michigan(8/4/2023)
RR
New Jersey(2/24/1999)
RR
New Mexico(11/17/2014)
RR
New York(9/4/2024)
RR
North Carolina(4/18/2011)
RR
Ohio(2/12/2002)
RR
Pennsylvania(7/1/1998)
IAR
Pennsylvania(7/11/2005)
RR
Rhode Island(12/18/2020)
RR
South Carolina(10/3/2014)
RR
Tennessee(7/3/2024)
RR
Texas(10/10/2017)
IAR
Texas(6/17/2021)
RR
Utah(1/28/2021)
RR
Virginia(3/1/2017)
RR
Washington(10/20/2022)
RR
West Virginia(6/26/2019)
Exams
State Security Law Exam
General Industry/Product 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#: 1137Wyomissing, PA 19610TRUST BUT VERIFY
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