John E. Forness
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Edward Forness, who also goes by John E Forness, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 82TO, Series 6TO, Series 52TO, Series 99TO, Series 22TO, SIE, Series 31, Series 7, Series 53, Series 26, Series 39, Series 14, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2024 - March 30, 2026
PRINCIPAL SECURITIES, INC.
May 6, 2024 - March 30, 2026
PRINCIPAL SECURITIES, INC.
January 31, 2020 - May 3, 2024
WELLS FARGO SECURITIES, LLC
October 5, 2015 - September 17, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2015 - September 17, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2013 - September 28, 2015
WELLS FARGO SECURITIES, LLC
December 9, 2008 - November 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 27, 2008 - November 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2006 - February 21, 2006
E*TRADE SECURITIES LLC
September 21, 2000 - December 31, 2005
HARRISDIRECT LLC
October 6, 1998 - August 10, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 20, 1997 - October 16, 1998
INVESTORS CAPITAL CORP.
May 12, 1995 - February 4, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 1995 - July 21, 1997
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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 |
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.
