Jonathan F Heim

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ · CRD#

BAYVIEW FINANCIAL PLANNING

LUTZ, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

WEDBUSH SECURITIES INC.

DENVER, CO · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ · CRD#

BAYVIEW FINANCIAL PLANNING

LUTZ, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

WEDBUSH SECURITIES INC.

DENVER, CO · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ · CRD#

BAYVIEW FINANCIAL PLANNING

LUTZ, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

WEDBUSH SECURITIES INC.

DENVER, CO · CRD#

Credentials

CFP®

Certified Financial PlannerSince 2016

Years of Experience

23 years registered in the securities industry

Current & Past Employments

Current

PRINCIPAL SECURITIES, INC.Current·CRD# 1137

RIA

BD

1. 223 W 5th St, Carroll, IA 514012. 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266

January 25, 2018 - Present

PRINCIPAL SECURITIES, INC.Current·CRD# 1137

RIA

BD

1. 223 W 5th St, Carroll, IA 514012. 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266

January 23, 2018 - Present

Past

MML INVESTORS SERVICES, LLCPast·CRD# 10409

RIA

West Des Moines, IA

March 25, 2017 - January 19, 2018

MML INVESTORS SERVICES, LLCPast·CRD# 10409

BD

West Des Moines, IA

March 25, 2017 - January 19, 2018

MSI FINANCIAL SERVICES, INC.Past·CRD# 14251

RIA

West Des Moines, IA

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.Past·CRD# 14251

BD

West Des Moines, IA

January 2, 2015 - March 25, 2017

NEW ENGLAND SECURITIESPast·CRD# 615

RIA

West Des Moines, IA

June 30, 2005 - January 2, 2015

NEW ENGLAND SECURITIESPast·CRD# 615

BD

West Des Moines, IA

August 14, 2003 - January 2, 2015

Similar Advisors

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ · CRD#

BAYVIEW FINANCIAL PLANNING

LUTZ, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

WEDBUSH SECURITIES INC.

DENVER, CO · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

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)

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

1,464

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (3/30/2026)

RETIREMENT PLAN CONSULTING (3/30/2026)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (3/30/2026)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (3/30/2026)

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

68,981

AUM (Assets Under Management)

$17,024,265,096

Disclosures

Regulatory Event

9

Arbitration

3

Bond

3

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2026	Cover Page	Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report

Similar Advisors

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ · CRD#

BAYVIEW FINANCIAL PLANNING

LUTZ, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

WEDBUSH SECURITIES INC.

DENVER, CO · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 provide a structured settlement annuity for a client for lifetime 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 organization help coordinate fundraiser events and help with the leg work to put them on. **ALIGNED WEALTH ADVISORS (DBA) POSITION: Advisor NATURE: Fee-based planning, financial strategies analysis, mutual funds/securities/VA/VL INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 09/01/2026 ADDRESS: 6701 Westown pkwy Ste 200, West Des Moines IA 50266, United States DESCRIPTION: DBA marketing name.

Similar Advisors

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ · CRD#

BAYVIEW FINANCIAL PLANNING

LUTZ, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

WEDBUSH SECURITIES INC.

DENVER, CO · CRD#