JF
John F. Fogarty
PRINCIPAL SECURITIES
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 4772019
JF
Professional summary
John Francis Fogarty, who also goes by John F. Fogarty Jr, John F. Fogarty, John Francis Fogarty Jr, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Atlanta, Georgia.
John is registered as a RR (Registered Representative) and started their career in finance in 2004. John has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John F. Fogarty Jr | John F. Fogarty | John Francis Fogarty Jr
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Francis Fogarty'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
August 8, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3625 Cumberland Blvd Ste 1075, Atlanta, GA 30339RIA
BD
CRD#: 1137
Atlanta, GA
Past
June 27, 2014 - February 22, 2017
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
September 14, 2013 - March 25, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FLOWERY BRANCH, GA
Past
July 28, 2011 - November 17, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
CONCORD, NH
Past
November 26, 2007 - May 26, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LAWRENCEVILLE, GA
Past
November 15, 2007 - May 26, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LAWRENCEVILLE, GA
Past
August 9, 2006 - June 22, 2007
TD AMERITRADE, INC.
RIA
CRD#: 7870
ROSWELL, GA
Past
August 9, 2006 - June 22, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
ROSWELL, GA
Past
May 23, 2006 - June 22, 2007
TD AMERITRADE, INC.
BD
CRD#: 7870
ROSWELL, GA
Past
June 23, 2004 - March 31, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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.
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(2/9/2021)
RR
Arizona(2/9/2021)
RR
California(2/9/2021)
RR
Colorado(2/9/2021)
RR
Connecticut(8/9/2017)
RR
Delaware(2/9/2021)
RR
District of Columbia(2/9/2021)
RR
Florida(2/9/2021)
RR
Georgia(3/26/2018)
RR
Illinois(2/9/2021)
RR
Indiana(2/9/2021)
RR
Iowa(2/9/2021)
RR
Kansas(2/9/2021)
RR
Kentucky(2/9/2021)
RR
Louisiana(2/9/2021)
RR
Maine(8/8/2017)
RR
Maryland(2/9/2021)
RR
Massachusetts(8/9/2017)
RR
Michigan(2/9/2021)
RR
Minnesota(2/9/2021)
RR
Missouri(2/9/2021)
RR
Nebraska(2/9/2021)
RR
New Hampshire(8/8/2017)
RR
New Jersey(2/9/2021)
RR
New York(2/9/2021)
RR
North Carolina(3/26/2018)
RR
Ohio(2/9/2021)
RR
Oregon(2/9/2021)
RR
Pennsylvania(2/9/2021)
RR
Rhode Island(8/9/2017)
RR
South Carolina(3/27/2018)
RR
Tennessee(1/24/2022)
RR
Texas(2/9/2021)
RR
Vermont(8/15/2017)
RR
Virginia(2/9/2021)
RR
Washington(2/9/2021)
RR
West Virginia(2/9/2021)
RR
Wisconsin(2/9/2021)
Exams
State Security Law Exam
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.
