JA
Jonathan M. Apsley
PRINCIPAL ASSET MANAGEMENT
Yuba City, CA
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CRD#: 2786696
JA
Professional summary
Jonathan Michael Apsley, who also goes by Jonathan Michael Aspley, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Yuba City, California and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jonathan has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Michael Aspley
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.
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Michael Apsley'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
December 2, 2021 - Present
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Yuba City, CA
Current
September 22, 2001 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
January 31, 2007 - December 26, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DOWNERS GROVE, IL
Past
December 12, 1997 - August 13, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
September 27, 1996 - September 30, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 27, 1996 - September 30, 1997
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
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.
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(12/23/2008)
RR
Alaska(12/23/2008)
RR
Arizona(12/23/2008)
RR
Arkansas(12/23/2008)
RR
California(9/22/2001)
IAR
California(12/2/2021)
RR
Colorado(12/23/2008)
RR
Connecticut(12/23/2008)
RR
Delaware(12/23/2008)
RR
District of Columbia(12/23/2008)
RR
Florida(12/23/2008)
RR
Georgia(12/23/2008)
RR
Hawaii(12/23/2008)
RR
Idaho(12/23/2008)
RR
Illinois(12/23/2008)
RR
Indiana(12/23/2008)
RR
Iowa(12/23/2008)
RR
Kansas(12/23/2008)
RR
Kentucky(12/23/2008)
RR
Louisiana(12/23/2008)
RR
Maine(2/4/2010)
RR
Maryland(12/23/2008)
RR
Massachusetts(12/23/2008)
RR
Michigan(12/23/2008)
RR
Minnesota(12/23/2008)
RR
Mississippi(12/23/2008)
RR
Missouri(12/23/2008)
RR
Montana(12/23/2008)
RR
Nebraska(12/23/2008)
RR
Nevada(12/23/2008)
RR
New Hampshire(12/23/2008)
RR
New Jersey(12/23/2008)
RR
New Mexico(12/23/2008)
RR
New York(12/23/2008)
RR
North Carolina(1/5/2009)
RR
North Dakota(12/23/2008)
RR
Ohio(12/24/2008)
RR
Oklahoma(12/23/2008)
RR
Oregon(12/23/2008)
RR
Pennsylvania(12/23/2008)
RR
Puerto Rico(2/22/2011)
RR
Rhode Island(12/23/2008)
RR
South Carolina(12/23/2008)
RR
South Dakota(12/23/2008)
RR
Tennessee(12/23/2008)
RR
Texas(12/23/2008)
RR
Utah(12/23/2008)
RR
Vermont(12/23/2008)
RR
Virginia(12/23/2008)
RR
Washington(12/23/2008)
RR
West Virginia(12/23/2008)
RR
Wisconsin(12/23/2008)
RR
Wyoming(12/23/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
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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)
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 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 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.
