Victoria R. Jakovich
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.
Victoria R Jakovich, who also goes by VIctoria Kempt, Victoria Thompson, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 2003. Victoria had worked at 9 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2010 - December 6, 2012
PRINCIPAL SECURITIES, INC.
September 24, 2010 - December 6, 2012
PRINCIPAL SECURITIES, INC.
October 1, 2009 - September 24, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 1, 2009 - September 24, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 9, 2009 - December 12, 2009
AVENTINE INVESTMENT SERVICES, INC.
September 23, 2008 - July 6, 2009
PURSHE KAPLAN STERLING INVESTMENTS
February 15, 2008 - October 1, 2008
SECURIAN FINANCIAL SERVICES, INC.
February 15, 2008 - October 1, 2008
SECURIAN FINANCIAL SERVICES, INC.
June 28, 2006 - January 8, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
July 26, 2005 - July 20, 2006
SECURIAN FINANCIAL SERVICES, INC.
July 15, 2005 - July 20, 2006
SECURIAN FINANCIAL SERVICES, INC.
October 9, 2003 - June 28, 2005
OSAIC FA, INC.
October 8, 2003 - June 28, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 8, 2003 - June 28, 2005
OSAIC FA, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
