JS
Jeffrey D. Soares
PRINCIPAL SECURITIES
Melville, NY 11747
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CRD#: 2979117
JS
Professional summary
Jeffrey David Soares, who also goes by Jeff Soares, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Melville, New York.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Soares
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.
**OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, LONG TERM CARE INSURANCE AND DISABILITY INSURANCE THROUGH VARIOUS CARRIERS, 12/18/14. **State of New York, CE Monitor, 07/13/17. **SOARING WEALTH MANAGEMENT POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 48 South Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Created an S Corp for tax purposes as advised by CPA. Not going to receive payments through this, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey David Soares's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey David Soares'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
June 30, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 48 S Service Rd Ste 402, Melville, NY 11747RIA
BD
CRD#: 1137
Melville, NY
Current
December 1, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 48 S Service Rd Ste 402, Melville, NY 11747RIA
BD
CRD#: 1137
Melville, NY
Past
May 11, 2010 - September 11, 2013
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
January 14, 2010 - May 14, 2010
EQUITY SERVICES, INC.
BD
CRD#: 265
JERICHO, NY
Past
August 10, 2004 - October 8, 2009
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
July 15, 1999 - January 7, 2004
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
March 18, 1998 - July 15, 1999
KEYPORT FINANCIAL SERVICES CORP.
BD
CRD#: 8127
WELLESLEY HILLS, MA
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(1/5/2024)
RR
California(1/5/2024)
RR
Connecticut(10/19/2022)
RR
Delaware(1/22/2024)
RR
District of Columbia(4/4/2024)
RR
Florida(1/8/2024)
RR
Georgia(1/9/2024)
RR
Indiana(1/18/2024)
RR
Maryland(1/10/2024)
RR
Massachusetts(1/8/2024)
RR
Nevada(9/12/2016)
RR
New Jersey(11/9/2015)
RR
New York(12/1/2014)
IAR
New York(6/30/2021)
RR
Pennsylvania(8/7/2017)
RR
South Carolina(1/10/2024)
RR
Texas(1/5/2024)
IAR
Texas(1/5/2024)
RR
Vermont(1/5/2024)
RR
Virginia(1/9/2024)
Exams
State Security Law 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.
