Jorge I. Seda-rivera
PRINCIPAL SECURITIES
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 4035135
Professional summary
Jorge Ivan Seda-rivera, CFP®, who also goes by Jorge IVan Seda Rivera, Jorge Ivan Seda-rivera Sr, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Downers Grove, Illinois.
Jorge is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jorge has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jorge Ivan Seda Rivera | Jorge Ivan Seda-Rivera Sr
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; Investment Related; Downers Grove, IL; Agent; Life, Annuity, DI, LTC, Health; Start Date: 06/16/2020; 2 hrs per month; 2 during trading hours. INSPIRE THERAPEUTIC SERVICES. LLC POSITION: Practice Manager NATURE: Manager INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 0 START DATE: 04/07/2022 ADDRESS: 2135 City Gate Ln, Ste 300, Naperville IL 60563, United States DESCRIPTION: Practice Manager, responsibilities include the use of technological tools and solutions including EMR, metrics reporting, customer service, oversees the budget, billing, and related revenue cycle. services. My wife Dr. Ednalice Pagan-Romney, PsyD who passed away on March 16th, 2022 was the owner of Inspire Therapeutic Services, LLC. I'm planning on passing ownership to another provider since is a Professional LLC. and maintain administrative support to the business on non-trading hours. B H PRACTICE MANAGEMENT, LLC POSITION: Practice Manager - Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 3532 Fletcher Ln, Aurora IL 60506, United States DESCRIPTION: Owner of B H Practice Management, LLC which provides Practice Management to Behavioral Health provider. Responsibilities include the use of EMR, metrics reporting, customer service, oversees budget, billing, related revenue cycle, and practice consulting. My wife Dr. Ednalice Pagan-Romney, PsyD passed away on March 15th, 2022, was the owner of Inspire Therapeutic Services, LLC, ownership was transferred to another provider since is a Professional LLC and B H Practice Management will continue to maintain administrative support to the business on non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jorge Ivan Seda-rivera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jorge Ivan Seda-rivera'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®
CFP®
Start date: 2008
Experience
Current
June 17, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515RIA
BD
CRD#: 1137
Downers Grove, IL
Current
June 12, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515RIA
BD
CRD#: 1137
Downers Grove, IL
Past
December 15, 2017 - June 15, 2020
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
NAPERVILLE, IL
Past
December 15, 2017 - June 15, 2020
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
NAPERVILLE, IL
Past
July 25, 2013 - December 8, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CICERO, IL
Past
July 25, 2013 - December 8, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CICERO, IL
Past
May 23, 2011 - July 23, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
JOLIET, IL
Past
May 23, 2011 - July 23, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
JOLIET, IL
Past
August 21, 2008 - April 4, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WARRENVILLE, IL
Past
June 20, 2008 - April 4, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WARRENVILLE, IL
Past
December 6, 2002 - June 11, 2008
ORIENTAL FINANCIAL SERVICES LLC
BD
CRD#: 29753
SAN JUAN, PR
Past
April 12, 2002 - December 11, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
November 20, 2000 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 27, 1999 - November 7, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Florida(4/27/2021)
RR
Georgia(7/15/2022)
RR
Illinois(6/12/2020)
IAR
Illinois(6/17/2020)
RR
Kentucky(6/28/2024)
RR
North Dakota(8/7/2024)
RR
South Dakota(8/7/2024)
RR
Texas(6/13/2025)
IAR
Texas(6/13/2025)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
