JS
Joseph J. Swanson
PRINCIPAL SECURITIES
Minnetonka, MN 55305
Some features on this profile are disabled
CRD#: 4696626
JS
Professional summary
Joseph J Swanson, who also goes by Joseph T Swanson, 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 2004. Joseph has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph T Swanson
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.
***YALE HOLDINGS, MN, EFF 11/12/10, RENTAL PROPERTY. ***Rock Island Home Watertown West LLC; Not Investment Related; Minnetonka, MN; Owner; LLC established to own property and receive rental income.; Start Date: 08/01/2018; 8 hrs per month; 2 during trading hours. ***BFB Management LLC and Surfside Units LLC; Not Investment Related; Tofte, MN; Owner; LLC owns sewerage for properties. Management meeting responsibilities.; Start Date: 07/01/2020; 8 hrs per month; 4 during trading hours. ***Carwardine, Tighe, and Swanson; Not Investment Related; Minnetonka, MN; Co-owner; LLC formed to provide operational support, business partnering, and practice succession planning.; Start Date: 01/01/2021; 0 hrs per month; 0 during trading hours. ***Lutsen Development Corporation; Not Investment Related; Plymouth, MN; Owner; Corporation established to own land.; Start Date: 06/02/2021; 1 hrs per month; 0 during trading hours. ***BVL MKL INC POSITION: Owner of Real Estate NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/30/2022 ADDRESS: 16720 51st Pl N, Plymouth MN 55446, United States DESCRIPTION: Owner rental vacation real estate business ***J&L HENNUM, INC POSITION: Real Estate Vacation Rentals NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/30/2022 ADDRESS: 16720 51st Pl N, Plymouth MN 55446, United States DESCRIPTION: Owner of Real Estate ***JJ SWANSON ADVISORY GROUP, INC POSITION: OWNER NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 8 START DATE: 05/01/2017 ADDRESS: 11100 WAYZATA BLVD STE 405, MINNETONKA MN 55305, United States DESCRIPTION: JJ Swanson Advisory Group offers DB, DC, NQDC, Advisory Services and other fixed and variable products ***BVL MKL K&D RESORTS POSITION: Owner of Lake of the Woods Resort Real Estate NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/30/2022 ADDRESS: 16720 51st Pl N, Plymouth MN 55446, United States DESCRIPTION: Owner rental vacation real estate resorts. ***BEACH HOMES, LLC POSITION: Sole Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 06/10/2024 ADDRESS: 1161 Wayzata Blvd E #214, Wayzata MN 55391, United States DESCRIPTION: Builds new Coastal Beach Rental Real Estate on land Yale Holdings (existing OBA) owns. ***OUTSIDE INSURANCE POSITION: Life, DI, LTC, Group Insurance, Health Insurance. NATURE: Fixed Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2003 ADDRESS: 11100 Wayzata Blvd # 405, Minnetonka MN 55305, United States DESCRIPTION: Group and Individual insurances as needed for planning or employees. **BRIDGE STREET WEALTH STRATEGIES (DBA) POSITION: Financial Representative NATURE: Financial Strategies/Needs Analysis INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/17/2025 ADDRESS: 11100 Wayzata Blvd, Minnetonka MN 55305, United States DESCRIPTION: For Marketing purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph J Swanson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph J Swanson'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
February 25, 2004 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, 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(5/17/2017)
RR
California(4/5/2007)
RR
Colorado(10/3/2016)
RR
Connecticut(7/17/2018)
RR
District of Columbia(10/3/2012)
RR
Florida(7/11/2014)
RR
Georgia(3/9/2021)
RR
Hawaii(3/25/2014)
RR
Idaho(11/19/2020)
RR
Illinois(1/22/2021)
RR
Indiana(1/10/2019)
RR
Iowa(4/4/2007)
RR
Kansas(1/5/2012)
RR
Maine(9/16/2021)
RR
Maryland(11/10/2019)
RR
Michigan(3/29/2016)
RR
Minnesota(3/8/2004)
IAR
Minnesota(1/17/2014)
RR
Montana(10/2/2018)
RR
Nebraska(6/10/2013)
RR
Nevada(3/5/2013)
RR
New Jersey(11/24/2008)
RR
New Mexico(1/9/2008)
RR
New York(1/3/2014)
RR
North Carolina(9/27/2017)
RR
North Dakota(8/30/2007)
RR
Ohio(4/20/2006)
RR
Oregon(1/3/2014)
RR
Pennsylvania(11/12/2019)
RR
South Carolina(6/22/2017)
RR
South Dakota(4/13/2007)
RR
Texas(7/8/2011)
IAR
Texas(3/8/2021)
RR
Virginia(9/16/2021)
RR
Washington(8/12/2019)
RR
West Virginia(9/3/2009)
RR
Wisconsin(6/18/2007)
Exams
State Security Law 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.
