JH
Jason W. Heffner
PRINCIPAL SECURITIES
Overland Park, KS 66210
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CRD#: 4557345
JH
Professional summary
Jason W Heffner, AIF® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Overland Park, Kansas.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jason has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
**HEFFNER FAMILY FARM.07/2010, RENTAL INCOME FROM FARMLAND. **STANDARD INSURANCE COMPANY, 02/2009, SALES AND SERVICING OF DI POLICIES. **VARIOUS CARRIERS, 01/2010, BROKER, SELLS INSURANCE. **Heffner Financial Partners LLC; Not Investment Related; Olathe, KS; Owner; Sole owner for LLC, employee payroll, tax purposes, business expenses; Start Date: 01/01/2020; 3 hrs per month; 0 during trading hours. **BALDWIN EDUCATION FOUNDATION POSITION: Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2022 ADDRESS: PO Box 67, Baldwin City KS 66006, United States DESCRIPTION: The goal of the Foundation is to promote excellence in Education by encouraging teachers to take innovative approaches to public education, recognizing students for scholastic achievement and providing long term support for school programs. The Foundation accomplishes this by working collaboratively with the business leaders, service organizations, educators, and residents of the community. **HEFFNER CAPITAL HOLDINGS POSITION: Cassy Heffner Business NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/07/2022 ADDRESS: 1858 N 800 Rd, Eudora KS 66025, United States DESCRIPTION: Cassy Heffner (my wife) is 100% owner and president of the s-corp. The s-corp intent is to hold investments oil leases and land. **S.H.F.P., LLC POSITION: S.H.F.P. , LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2024 ADDRESS: 100 Sunset View Dr., Butler MO 64730, United States DESCRIPTION: We are establishing an LLC to run our Health Ins & Medicare supplement sales through. **EIGHT MILE CREEK LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 04/18/2025 ADDRESS: 1858 N 800th Rd, Eudora KS 66025, United States DESCRIPTION: LLC establish to hold farm ground and rental house.
CRS (Client Relationship Summary) - RIA
Click below to view Jason W Heffner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason W Heffner'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®
Experience
Current
April 29, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Current
August 5, 2002 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
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
Alabama(4/6/2017)
RR
Alaska(1/14/2019)
RR
Arizona(5/21/2008)
RR
Arkansas(3/30/2006)
RR
California(1/29/2010)
RR
Colorado(2/25/2005)
RR
Connecticut(2/2/2012)
RR
Delaware(11/16/2016)
RR
Florida(1/13/2011)
RR
Georgia(3/16/2011)
RR
Hawaii(8/28/2013)
RR
Illinois(10/25/2010)
RR
Indiana(1/16/2009)
RR
Iowa(2/25/2005)
RR
Kansas(10/1/2002)
IAR
Kansas(4/29/2005)
RR
Kentucky(2/25/2005)
RR
Louisiana(7/23/2013)
RR
Maine(12/19/2014)
RR
Maryland(7/22/2022)
RR
Massachusetts(11/16/2021)
RR
Michigan(7/28/2015)
RR
Minnesota(2/23/2015)
RR
Missouri(10/1/2002)
RR
Montana(7/26/2017)
RR
Nebraska(3/5/2003)
RR
Nevada(1/7/2013)
RR
New Jersey(10/9/2018)
RR
New Mexico(4/6/2017)
RR
New York(10/22/2018)
RR
North Carolina(5/24/2010)
RR
North Dakota(3/19/2019)
RR
Ohio(9/20/2010)
RR
Oklahoma(6/18/2004)
RR
Oregon(3/30/2012)
RR
Pennsylvania(4/17/2012)
RR
South Carolina(1/6/2016)
RR
South Dakota(6/27/2008)
RR
Tennessee(3/24/2020)
RR
Texas(4/14/2009)
IAR
Texas(3/8/2021)
RR
Utah(10/19/2015)
RR
Virginia(10/28/2008)
RR
Washington(9/10/2007)
RR
Wisconsin(11/6/2015)
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.
