Jason Miller

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CRD#: 4176429

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jason Miller, who also goes by Jason Christopher Miller, Jason C. Miller, was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 2000. Jason had worked at 15 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Aliases

Jason Christopher Miller | Jason C. Miller

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.

**ST. MARY SCHOOL MOKENA IL ATHLETIC BOARD POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2025 ADDRESS: 11409 195th St, Mokena IL 60448, United States DESCRIPTION: My role would be treasurer of the Athletic Board. This will involve accounting of fees from concession and attendance sales as well as registration fees for team sports related to the school. No investments will be done in this role. **RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2018 ADDRESS: 1812 Wesley, Valparaiso IN 46383, United States DESCRIPTION: Owner of 2nd home in Indiana. Home is rented out currently to a tenant. **JAKE INVESTMENT GROUP, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/23/2023 ADDRESS: 11428 Abbey Rd, Mokena IL 60448, United States DESCRIPTION: My wife and I invested funds in a Private Securities Transaction. We are part of a group that committed a set amount of capital and are a 1.67% owner in the transaction. No additional funds will be invested. My wife and I have no authority role in this transaction and no clients are involved at all. This is a transaction/OBA only for this investment and no other purpose.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 2, 2024 - July 21, 2026

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DOWNERS GROVE, IL

Past

November 26, 2024 - July 21, 2026

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

June 7, 2024 - October 18, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

URBANA, IL

Past

June 3, 2024 - October 18, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Urbana, IL

Past

January 13, 2017 - July 14, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Orland Park, IL

Past

January 13, 2017 - July 14, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

Orland Park, IL

Past

February 12, 2015 - December 21, 2016

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CHESTERFIELD, MO

Past

January 30, 2015 - December 14, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

OAK BROOK, IL

Past

March 11, 2010 - January 26, 2015

SCOTTRADE, INC.

CRD#: 8206

TINLEY PARK, IL

Past

January 8, 2010 - March 8, 2010

ICM SECURITIES, LLC

CRD#: 131988

CHICAGO, IL

Past

May 16, 2006 - May 1, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OAK BROOK, IL

Past

November 7, 2005 - May 1, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

OAK BROOK, IL

Past

November 7, 2005 - May 1, 2008

TD AMERITRADE, INC.

CRD#: 7870

OAK BROOK, IL

Past

July 6, 2005 - November 22, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - November 22, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 12, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CHICAGO, IL

Past

February 12, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 23, 2002 - February 24, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SCHAUMBURG, IL

Past

November 7, 2000 - February 24, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 30, 2000 - July 6, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 30, 2000 - July 6, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/12/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/17/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/23/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/2/2015

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/2006

General Securities Principal Examination

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (1/2/2026)

RETIREMENT PLAN CONSULTING (1/2/2026)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (1/2/2026)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (1/2/2026)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jason Miller

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

SCOTTRADE, INC.

ICM SECURITIES, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/2015

Series 66

Date: 11/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/26/2000

Series 10

Date: 3/23/2015

Series 9

Date: 3/2/2015

Series 24

Date: 9/15/2006

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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