John L. Simpson
Professional summary
John Larry Simpson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, John had worked at 11 firms, which includes PRINCIPAL SECURITIES INC., AVALON INVESTMENT & SECURITIES GROUP INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, LPL FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES INC., PAN-AMERICAN INVESTMENT ADVISERS INC., PAN-AMERICAN FINANCIAL ADVISERS, PRUDENTIAL EQUITY GROUP LLC, EDWARD JONES, FIRST ASSOCIATED SECURITIES GROUP INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2014 - April 8, 2015
PRINCIPAL SECURITIES, INC.
November 15, 2010 - August 9, 2012
AVALON INVESTMENT & SECURITIES GROUP, INC.
September 12, 2008 - February 11, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 2008 - February 11, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 2, 2007 - September 12, 2008
LPL FINANCIAL LLC
May 2, 2007 - September 12, 2008
LPL FINANCIAL LLC
October 6, 2003 - May 7, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 2003 - May 7, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 26, 2002 - September 29, 2003
PAN-AMERICAN INVESTMENT ADVISERS, INC.
June 27, 2001 - September 29, 2003
PAN-AMERICAN FINANCIAL ADVISERS
September 7, 1999 - July 11, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 1998 - September 7, 1999
PRUDENTIAL EQUITY GROUP, LLC
April 27, 1998 - May 15, 1998
EDWARD JONES
September 8, 1997 - May 27, 1998
FIRST ASSOCIATED SECURITIES GROUP, INC.
December 3, 1996 - September 5, 1997
PRUCO SECURITIES, LLC.
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
Current 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 | ||
| 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.
