DW
Dax J. Welsheimer
PRINCIPAL SECURITIES
Dublin, OH 43017
Some features on this profile are disabled
CRD#: 2767268
DW
Professional summary
Dax James Welsheimer, who also goes by Dax James Welshimer, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Dublin, Ohio.
Dax is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dax has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dax James Welshimer
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.
ROCK CITY CHURCH POSITION: Care Pastor NATURE: Care Pastor at a Church INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 07/16/2018 ADDRESS: 4311 Anson Drive, Hilliard OH 43026, United States DESCRIPTION: Oversee prayer requests, hospital and home visits, weddings, funerals, and other care requests for the church. We also have a financial care team that helps those who request assistance sit down and make a budget. I personally do not participate in this. I also have discussions and help those requesting financial assistance for evictions from their homes and/or having their utilities disconnected. Any assistance provided by the church is paid directly to vendors and I have no say in budgets at Rock City. FIXED INSURANCE POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2024 ADDRESS: 5600 Blazer Parkway Suite 300, Dublin OH 43017, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, Health and group benefits.
CRS (Client Relationship Summary) - RIA
Click below to view Dax James Welsheimer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dax James Welsheimer'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
November 20, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5600 Blazer Pkwy Ste 300, Dublin, OH 43017RIA
BD
CRD#: 1137
Dublin, OH
Current
November 3, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5600 Blazer Pkwy Ste 300, Dublin, OH 43017RIA
BD
CRD#: 1137
Dublin, OH
Past
April 24, 2009 - April 5, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
WORTHINGTON, OH
Past
April 17, 2009 - April 5, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
WORTHINGTON, OH
Past
October 18, 2005 - April 21, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
FT. PIERCE, FL
Past
October 17, 2005 - April 21, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
FT. PIERCE, FL
Past
May 25, 2005 - October 7, 2005
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
COLUMBUS, OH
Past
May 24, 2005 - October 7, 2005
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
June 17, 2003 - May 19, 2005
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
COLUMBUS, OH
Past
May 23, 2003 - May 19, 2005
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
Past
January 30, 2003 - June 2, 2003
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
COLUMBUS, OH
Past
October 10, 1996 - June 2, 2003
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".
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
Indiana(12/5/2023)
RR
Ohio(11/20/2023)
IAR
Ohio(11/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/3/2023
General Securities Representative ExaminationGeneral Industry/Product 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.
