JH
Jeffrey R. Harper
PRINCIPAL SECURITIES
Dublin, OH 43017
Some features on this profile are disabled
CRD#: 2539806
JH
Professional summary
Jeffrey Ray Harper, who also goes by Jeff Ray Harper, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Dublin, Ohio.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Ray Harper
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; Cincinnati, OH; Agent; Life, Annuities, LTC, DI; Start Date: 05/19/2021; 15 hrs per month; 15 during trading hours. **INSURANCE / Lake Forest Financial Advisors (DBA) POSITION: Managing Partner NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 07/31/2025 ADDRESS: 400 E Business way suite 125, suite 125, Sharonville OH 45241, United States DESCRIPTION: DBA
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Ray Harper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Ray Harper'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
May 12, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5600 Blazer Pkwy Ste 300, Dublin, OH 43017Office #2: 400 E Business Way Ste 125, Sharonville, OH 45241RIA
BD
CRD#: 1137
Dublin, OH
Current
May 10, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5600 Blazer Pkwy Ste 300, Dublin, OH 43017Office #2: 400 E Business Way Ste 125, Sharonville, OH 45241RIA
BD
CRD#: 1137
Dublin, OH
Past
June 26, 2014 - April 30, 2021
WADDELL & REED
RIA
CRD#: 866
WEST CHESTER, OH
Past
June 26, 2014 - April 30, 2021
WADDELL & REED
BD
CRD#: 866
WEST CHESTER, OH
Past
December 16, 2003 - June 17, 2014
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
HAMILTON, OH
Past
December 1, 2001 - June 17, 2014
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
HAMILTON, OH
Past
December 8, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
October 1, 2000 - December 8, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 11, 1995 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
November 2, 1994 - July 25, 1995
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 3155
CINCINNATI, OH
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(11/6/2024)
RR
California(11/6/2024)
RR
Colorado(9/25/2025)
RR
Connecticut(11/6/2024)
RR
Florida(1/19/2022)
RR
Georgia(9/9/2025)
RR
Hawaii(11/6/2024)
RR
Illinois(9/6/2022)
RR
Indiana(11/6/2024)
RR
Kentucky(5/10/2021)
RR
Louisiana(9/25/2025)
RR
Maine(9/25/2025)
RR
Maryland(11/6/2024)
RR
Michigan(11/6/2024)
RR
Minnesota(11/6/2024)
RR
Mississippi(11/6/2024)
RR
Missouri(11/6/2024)
RR
Nebraska(9/25/2025)
RR
New Hampshire(5/10/2021)
RR
New York(9/25/2025)
RR
North Carolina(1/19/2022)
RR
Ohio(5/10/2021)
IAR
Ohio(5/12/2021)
RR
Pennsylvania(9/25/2025)
RR
South Carolina(1/19/2022)
RR
Tennessee(11/6/2024)
RR
Texas(11/6/2024)
IAR
Texas(11/7/2024)
RR
Utah(11/6/2024)
RR
Virginia(1/19/2022)
RR
Washington(11/6/2024)
RR
West Virginia(5/10/2021)
RR
Wisconsin(9/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral 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.
