JR
Jeff O. Ruen
PRINCIPAL SECURITIES
Austin, TX 78731
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CRD#: 3263131
JR
Professional summary
Jeff Oscar Ruen is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Austin, Texas.
Jeff is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jeff has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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, Fixed life, DI, LTC, Vision, Dental, Health, 12/22/16. LHS BOOSTER CLUB POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: 08/31/2023 ADDRESS: 2301 Bagdad Rd, Leander TX 78641, United States DESCRIPTION: President of High School Booster Club.
CRS (Client Relationship Summary) - RIA
Click below to view Jeff Oscar Ruen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeff Oscar Ruen'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 20, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8310 N Capital Of Texas Hwy Bldg 1 Ste 175, Austin, TX 78731RIA
BD
CRD#: 1137
Austin, TX
Current
December 16, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8310 N Capital Of Texas Hwy Bldg 1 Ste 175, Austin, TX 78731RIA
BD
CRD#: 1137
Austin, TX
Past
November 24, 2014 - January 3, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
AUSTIN, TX
Past
October 21, 2014 - January 3, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
AUSTIN, TX
Past
June 16, 2011 - September 17, 2014
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Leander, TX
Past
June 16, 2011 - September 17, 2014
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Leander, TX
Past
June 5, 2009 - June 3, 2011
EQUITY SERVICES, INC.
RIA
CRD#: 265
AUSTIN, TX
Past
June 3, 2009 - June 3, 2011
EQUITY SERVICES, INC.
BD
CRD#: 265
AUSTIN, TX
Past
February 12, 2007 - May 15, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
THE WOODLANDS, TX
Past
February 6, 2007 - May 15, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
THE WOODLANDS, TX
Past
August 26, 1999 - February 1, 2007
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
August 19, 1999 - February 1, 2007
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
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
California(10/31/2023)
RR
Minnesota(8/9/2022)
RR
Texas(12/19/2016)
IAR
Texas(1/20/2017)
Exams
State Security Law 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.
