Jeffrey Stephen Vorwerk | Financial Professional

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.

Jeffrey Stephen Vorwerk was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 3, 2016 - March 5, 2021

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Des Moines, IA

Past

November 13, 2007 - March 5, 2021

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD

CRD#: 43261

DES MOINES, IA

Past

July 1, 2004 - July 28, 2016

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

September 22, 1999 - July 28, 2016

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DES MOINES, IA

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".

PA

PRINCIPAL ASSET MANAGEMENT

CRD#: 109002 / SEC#: 801-55959

RIA

Registered Investment Advisory firm - (10/26/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 2/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 10/24/2022

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 9/17/1999

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/24/2022

General Securities Principal Examination

Current Firm

PA

PRINCIPAL ASSET MANAGEMENT

CRD#: 109002 / SEC#: 801-55959

RIA

Registered Investment Advisory firm - (10/26/1998 Approved)

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Contact information

Main Address

801 Grand Ave, Des Moines, IA 50392-0001

Mailing Address

711 High Street, Des Moines, IA 50392-0001

Phone number

(800) 787-1621

Established

Firm type

Fiscal year end

# of Employees

1,350

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCIPAL ASSET MANAGEMENT 2025 ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,399
AUM (Assets Under Management)	$ 364,035,359,901

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/28/2023	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey S. Vorwerk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

PRINCIPAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2002

Series 7TO

Date: 10/24/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1999

Series 24

Date: 10/24/2022

Current Firm

PRINCIPAL ASSET MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ASSET MANAGEMENT

TRUST BUT VERIFY

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