JV
Justin S. Vaught
PRINCIPAL ASSET MANAGEMENT
Des Moines, IA 50392
Some features on this profile are disabled
CRD#: 5498190
JV
Professional summary
Justin Stephen Vaught, who also goes by Justin S. Vaught, Justin Vaught, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Des Moines, Iowa and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Justin has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Justin S. Vaught | Justin Vaught
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.
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view Justin Stephen Vaught'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
February 10, 2017 - Present
PRINCIPAL ASSET MANAGEMENT
Office #1: 711 High Street, Des Moines, IA 50392RIA
CRD#: 109002
Des Moines, IA
Current
January 13, 2015 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392Office #2: 6701 Westown Parkway Ste 200, West Des Moines, IA 50266BD
CRD#: 43261
DES MOINES, IA
Current
March 26, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392Office #2: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
DES MOINES, IA
Past
January 29, 2015 - February 2, 2016
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
January 13, 2015 - February 2, 2016
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
November 7, 2011 - January 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DES MOINES, IA
Past
November 7, 2011 - January 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DES MOINES, IA
Past
January 12, 2011 - September 13, 2011
DEWAAY CAPITAL MANAGEMENT
RIA
CRD#: 116214
CLIVE, IA
Past
November 5, 2010 - September 13, 2011
DEWAAY FINANCIAL NETWORK, LLC
BD
CRD#: 30767
CLIVE, IA
Past
May 16, 2008 - June 24, 2010
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
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".
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 Approved)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(2/3/2025)
RR
Florida(2/3/2025)
RR
Georgia(2/3/2025)
RR
Illinois(1/28/2025)
RR
Iowa(1/13/2015)
IAR
Iowa(2/10/2017)
RR
Minnesota(2/3/2025)
RR
Wisconsin(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 Approved)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
801 Grand Ave, Des Moines, IA 50392-0001
Mailing Address
711 High Street, Des Moines, IA 50392-0001
Phone number
(800) 787-1621
Established
Firm type
Fiscal year end
# of Employees
1,350
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 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.
Company Information
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002Des Moines, IA 50392TRUST BUT VERIFY
Monitor Justin Vaught
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
