JP
Jonathan P. Pipho
PRINCIPAL SECURITIES
Decorah, IA 52101
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CRD#: 2926508
JP
Professional summary
Jonathan Paul Pipho, who also goes by Jon Pipho, Jonathon Paul Pipho, Jonathan Paul Pipho, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Decorah, Iowa.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jonathan has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Pipho | Jonathon Paul Pipho | Jonathan Paul Pipho
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.
***Fixed Insurance; Not Investment Related; Decorah, IA; Agent; Life, DI, Annuities, Health, Medicare Supplements; Start Date: 01/01/2020; 10 hrs per month; 10 during trading hours.***Rental Property; Not Investment Related; Decorah, IA; Owner; Owner or rental property. Receives rental income.; Start Date: 06/16/2020; 1 hrs per month; 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Paul Pipho's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Paul Pipho'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
January 22, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 517 W Water St, Decorah, IA 52101RIA
BD
CRD#: 1137
Decorah, IA
Current
January 14, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 517 W Water St, Decorah, IA 52101RIA
BD
CRD#: 1137
Decorah, IA
Past
November 2, 2018 - December 31, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
DECORAH, IA
Past
November 2, 2018 - December 31, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
DECORAH, IA
Past
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
DECORAH, IA
Past
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
DECORAH, IA
Past
November 28, 2012 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
DECORAH, IA
Past
November 20, 2012 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
DECORAH, IA
Past
February 16, 2011 - February 17, 2011
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DECORAH, IA
Past
February 1, 2011 - November 20, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DECORAH, IA
Past
August 31, 2004 - December 31, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
DECORAH, IA
Past
July 1, 2002 - December 31, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
DECORAH, IA
Past
August 6, 1997 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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
Arizona(1/24/2020)
RR
Iowa(1/14/2020)
IAR
Iowa(1/22/2020)
RR
Minnesota(1/15/2020)
RR
North Carolina(4/21/2025)
RR
Oregon(4/19/2024)
RR
Wisconsin(1/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
