JA
Jacob G. Adams
PRINCIPAL SECURITIES
Austin, TX 78731
Some features on this profile are disabled
CRD#: 4975889
JA
Professional summary
Jacob George Adams, CFP®, who also goes by Jacob George Adams, Jake Adams, Jacob Adams, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Austin, Texas.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jacob has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jacob George Adams | Jake Adams | Jacob Adams
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.
INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 07/11/2025 ADDRESS: 8310 N. Capital of Texas Hwy., Suite 175, Austin TX 78731, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob George Adams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob George Adams'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®
Experience
Current
July 11, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8310 N Capital Of Texas Hwy Bldg 1 Ste 175, Austin, TX 78731RIA
BD
CRD#: 1137
Austin, TX
Current
July 8, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8310 N Capital Of Texas Hwy Bldg 1 Ste 175, Austin, TX 78731RIA
BD
CRD#: 1137
Austin, TX
Past
June 30, 2022 - January 3, 2024
REALIZED FINANCIAL, INC.
RIA
CRD#: 22333
Austin, TX
Past
November 5, 2019 - January 3, 2024
REALIZED FINANCIAL, INC.
BD
CRD#: 22333
Austin, TX
Past
May 7, 2019 - October 31, 2019
WEALTHFORGE SECURITIES, LLC
BD
CRD#: 152550
Austin, TX
Past
April 7, 2010 - February 1, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Austin, TX
Past
April 7, 2010 - February 1, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Austin, TX
Past
August 10, 2007 - February 25, 2010
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
August 10, 2007 - February 25, 2010
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
October 10, 2005 - July 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AUSTIN, TX
Past
September 2, 2005 - July 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AUSTIN, TX
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
Louisiana(9/5/2025)
RR
Texas(7/8/2025)
IAR
Texas(7/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
