JC
Joseph J. Carwardine
PRINCIPAL SECURITIES
Minnetonka, MN 55305
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CRD#: 4504579
JC
Professional summary
Joseph James Carwardine, who also goes by Joe Carwardine, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Minnetonka, Minnesota.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Carwardine
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.
**Joe Swanson Financial Services, Relationship Management, 06/01/17. **Fixed Insurance; Investment Related; 11100 Wayzata Blvd, Suite 405, Minnetonka, MN 55305; Agent; Life, Annuities, DI, LTC; Start Date: 01/01/2017; 1 hrs per month; 1 during trading hours. **Carwardine, Tighe, and Swanson, LLC; Not Investment Related; Minnetonka, MN; Co-owner; LLS formed to provide operational support, business partnering, and practice succession planning.; Start Date: 01/01/2021; 0 hrs per month; 0 during trading hours. **JJ CARWARDINE ADVISORY GROUP LLC LIMITED LIABILITY COMPANY POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/30/2023 ADDRESS: 15846 Vale St NW, Andover MN 55304-8508, United States DESCRIPTION: Sole owner of JJ Carwardine Advisory Group LLC for tax purposes to file as S Corp. **BRIDGE STREET WEALTH STRATEGIES (DBA) POSITION: Senior Financial Advisor NATURE: Other INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2025 ADDRESS: 202 W Bridge St, Suite 203, Owatonna MN 55060, United States DESCRIPTION: Marketing in partnership with Owatonna MN based local PSI Registered Representative Geoff Stamp.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph James Carwardine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph James Carwardine'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 17, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
Current
November 8, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
Past
March 17, 2004 - October 19, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BLAINE, MN
Past
January 8, 2004 - October 19, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
March 7, 2002 - January 3, 2003
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, 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(1/17/2017)
RR
California(1/9/2019)
RR
Connecticut(7/19/2018)
RR
Florida(1/17/2017)
RR
Iowa(1/17/2017)
RR
Minnesota(11/8/2005)
IAR
Minnesota(1/17/2014)
RR
New Mexico(12/20/2023)
RR
North Dakota(1/12/2006)
RR
Ohio(1/10/2022)
RR
South Dakota(1/27/2007)
RR
Texas(1/17/2017)
IAR
Texas(3/8/2021)
RR
Washington(8/12/2019)
RR
Wisconsin(1/12/2006)
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.
