JH
Jonathan F. Heim
PRINCIPAL SECURITIES
Carroll, IA 51401
Some features on this profile are disabled
CRD#: 4672121
JH
Professional summary
Jonathan F Heim, CFP®, who also goes by Jon F Heim, Jonathan Heim, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Carroll, Iowa.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon F Heim | Jonathan Heim
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; 6701 Westown Pkw, Suite 200, West Ds Moines, IA50266; Agent; DI, Group Benefits, LTC, Health; Start Date: 11/01/2017; 10 hrs per month; 0 during trading hours. **Miracle League; Not Investment Related; 501 Summit Drive, Carroll, IA 51401; Board Member; Board Member; Start Date: 10/01/2017; 4 hrs per month; 0 during trading hours. **Aglet LLC; Not Investment Related; 501 Summit Drive, Carroll, IA 51401; Owner; Co-owner of condo held in LLC; Start Date: 05/01/2017; 1 hrs per month; 0 during trading hours. **Uri Sellers Memorial Foundation; Not Investment Related; West Des Moines, IA; Vice President; Help with the selection of candidates to received scholarship proceeds. No handling of funds. Volunteer time to various fundraisers throughout the year.; Start Date: 09/01/2019; 1 hrs per month; 0 during trading hours. **AGLET LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2017 ADDRESS: 460 Deer Creek Ln, Carroll IA 51401, United States DESCRIPTION: Co-owner of condo held in LLC **COMMUNITY FOUNDATION OF CARROLL COUNTY POSITION: Board member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/13/2023 ADDRESS: 510 Us Highway 30, Carroll IA 51401, United States DESCRIPTION: Role on the board is to work with public non-profit entities to listen to projects and award grants to various entities for non-profit work. The board meets twice a year. **CARROLL CHAMBER OF COMMERCE POSITION: At large board member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: 407 W. 5th Street, Carroll IA 51401, United States DESCRIPTION: I will be an at large member of the board of the chamber of commerce. I will assist at ribbon cuttings and help organize business afterhours. **GRR, LLC POSITION: Vice President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/13/2023 ADDRESS: 460 Deer Creek Lane, Carroll IA 51401, United States DESCRIPTION: I am 50% owner of the LLC which owns 61 acres of hunting land in Guthrie County Iowa. This is not an income producing LLC it is to hold the hunting property between me and my partner. **INSURANCE POSITION: Structured Settlement 360 Financial NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/07/2024 ADDRESS: 223 W. 5th Street, Carroll IA 51401, United States DESCRIPTION: We will be working with Doug Arnest at 360 financial to provided a structured settlement annuity for a client for life time payout. A portion of the settlement will go to the structured annuity with New York Life we are establishing this to be able to split the commission with the Structured Settlement broker. **FAMILY RESOURCE CENTER POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2025 ADDRESS: 502 W 7th street, Carroll IA 51401, United States DESCRIPTION: I will be responsible for oversight of the orignization help coordinate fundraiser events and help with the leg work to put them on. Also I do managed a non qualified account for the group which i am prepared to let go for the board seat if approved and necessary.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan F Heim's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan F Heim'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: 2016
Experience
Current
January 25, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 223 W 5th St, Carroll, IA 51401Office #2: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
Carroll, IA
Current
January 23, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 223 W 5th St, Carroll, IA 51401Office #2: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
Carroll, IA
Past
March 25, 2017 - January 19, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WEST DES MOINES, IA
Past
March 25, 2017 - January 19, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WEST DES MOINES, IA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WEST DES MOINES, IA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WEST DES MOINES, IA
Past
June 30, 2005 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WEST DES MOINES, IA
Past
August 14, 2003 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
WEST DES MOINES, IA
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(1/23/2018)
RR
Arizona(1/23/2018)
RR
Arkansas(8/28/2019)
RR
California(4/3/2025)
RR
Colorado(1/23/2018)
RR
Delaware(4/3/2025)
RR
Florida(3/22/2023)
RR
Georgia(7/14/2022)
RR
Idaho(5/20/2024)
RR
Illinois(1/23/2018)
RR
Indiana(8/26/2020)
RR
Iowa(1/23/2018)
IAR
Iowa(1/25/2018)
RR
Kansas(1/26/2022)
RR
Kentucky(10/26/2020)
RR
Maine(5/8/2023)
RR
Michigan(1/23/2018)
RR
Minnesota(1/23/2018)
RR
Missouri(1/23/2018)
RR
Montana(1/23/2018)
RR
Nebraska(1/23/2018)
RR
New York(1/3/2025)
RR
North Carolina(6/21/2023)
RR
Ohio(5/15/2020)
RR
Oklahoma(1/23/2018)
RR
Pennsylvania(8/3/2023)
RR
South Dakota(9/9/2021)
RR
Tennessee(4/13/2020)
RR
Texas(10/1/2018)
IAR
Texas(6/17/2021)
RR
Virginia(6/14/2019)
RR
Washington(6/4/2025)
RR
Wisconsin(1/23/2018)
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.
