JK
John R. Kuhlmann
PRINCIPAL SECURITIES
Saint Charles, MO 63304
Some features on this profile are disabled
CRD#: 2202932
JK
Professional summary
John Russell Kuhlmann III, who also goes by John Russell Kuhlmann III, John Russell Kuhlmann, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Saint Charles, Missouri.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Russell Kuhlmann Iii | John Russell Kuhlmann
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 POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2022 ADDRESS: 46 Windcastle Drive, St. Charles MO 63304, United States DESCRIPTION: Sale and service, outside fixed insurance through various carriers, life, D/I, LTC, Group benefits, life and disability. KUHLMANN FINANCIAL SERVICES, LLC POSITION: Owner/President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 30 START DATE: 09/01/1991 ADDRESS: 46 Windcastle Drive, St. Charles MO 63304, United States DESCRIPTION: Owner/president - manage the company. OUTSIDE INSURANCE SALES POSITION: Agent/Broker NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 07/01/2018 ADDRESS: 46 Windcastle Drive, St. Charles MO 63304, United States DESCRIPTION: Market and sell health, dental, fixed life, disability, accident, critical illness, LTC, telemedicine, televet, and discount prescription insurance products and services to individuals and groups through various carriers.
CRS (Client Relationship Summary) - RIA
Click below to view John Russell Kuhlmann III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Russell Kuhlmann III'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
October 15, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 46 Windcastle Dr, Saint Charles, MO 63304RIA
BD
CRD#: 1137
Saint Charles, MO
Current
February 24, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 46 Windcastle Dr, Saint Charles, MO 63304RIA
BD
CRD#: 1137
Saint Charles, MO
Past
July 29, 1992 - March 10, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
July 29, 1992 - March 10, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Past
March 5, 1992 - August 3, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
Past
March 5, 1992 - August 3, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
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(5/27/2025)
RR
California(2/19/2025)
RR
Connecticut(3/24/2023)
RR
Florida(2/19/2025)
RR
Georgia(8/25/2025)
RR
Missouri(3/5/2022)
IAR
Missouri(10/15/2024)
RR
New Hampshire(1/26/2023)
RR
New Jersey(6/3/2024)
RR
Ohio(9/8/2025)
RR
South Carolina(8/12/2025)
RR
Texas(8/26/2025)
IAR
Texas(8/26/2025)
RR
Washington(5/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/24/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 1137Saint Charles, MO 63304TRUST BUT VERIFY
Monitor John Kuhlmann
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
