JS
James E. Schwalbe
PRINCIPAL SECURITIES
Addison, TX 75001
Some features on this profile are disabled
CRD#: 2741086
JS
Professional summary
James Edward Schwalbe Jr, who also goes by James Edward Schwalbe Jr, James Edward Schwalbe Jr., James Edward Schwalbe, James Schwalbe, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Addison, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Edward Schwalbe Jr | James Edward Schwalbe Jr. | James Edward Schwalbe | James Schwalbe
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.
**INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 48 START DATE: 07/19/2017 ADDRESS: 5080 Spectrum Drive, Suite 1200E, Addison TX 75001, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **P&C INSURANCE POSITION: P&C Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/16/2025 ADDRESS: 5080 Spectrum Drive, Suite 1200E, Addison TX 75001, United States DESCRIPTION: Facilitating and entering a revenue sharing agreement with P&C brokers to provide guidance and expertise to my clients. Home, auto, specialty commercial, excess liability, flood...all types of P&C insurance, as needed by my clients.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Schwalbe Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Schwalbe Jr'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
April 16, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5080 Spectrum Dr Ste 1200e, Addison, TX 75001RIA
BD
CRD#: 1137
Addison, TX
Current
April 16, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5080 Spectrum Dr Ste 1200e, Addison, TX 75001RIA
BD
CRD#: 1137
Addison, TX
Past
May 8, 2019 - April 21, 2025
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
DALLAS, TX
Past
April 9, 2019 - April 21, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DALLAS, TX
Past
July 27, 2017 - March 18, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
IRVING, TX
Past
June 16, 2017 - March 18, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
IRVING, TX
Past
April 26, 2016 - June 5, 2017
SHARE FINANCIAL SERVICES, INC.
BD
CRD#: 11226
ADDISON, TX
Past
October 16, 2014 - February 16, 2015
ESPOSITO SECURITIES, LLC
BD
CRD#: 143710
DALLAS, TX
Past
December 3, 2013 - September 24, 2014
COMERICA SECURITIES
RIA
CRD#: 17079
DALLAS, TX
Past
December 3, 2013 - September 24, 2014
COMERICA SECURITIES
BD
CRD#: 17079
DALLAS, TX
Past
August 9, 2013 - November 27, 2013
EDWARD JONES
RIA
CRD#: 250
PLANO, TX
Past
July 22, 2013 - November 27, 2013
EDWARD JONES
BD
CRD#: 250
PLANO, TX
Past
June 22, 2011 - June 12, 2013
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
DALLAS, TX
Past
July 5, 2006 - June 6, 2011
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
CHICAGO, IL
Past
January 22, 2001 - June 30, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 1, 1996 - January 4, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
May 14, 1996 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
BD
CRD#: 28613
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
Florida(4/17/2025)
RR
Texas(4/16/2025)
IAR
Texas(4/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
