JC
Jason A. Cummings
PRINCIPAL SECURITIES
St. Louis, MO
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CRD#: 5868108
JC
Professional summary
Jason Alan Cummings, who also goes by Jason A Cummings, Jason Alan Cummings, J Cummings, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in St. Louis, Missouri.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jason has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason A Cummings | Jason Alan Cummings | J Cummings
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 NATHAN CUMMINGS FOUNDATION POSITION: Trustee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2025 ADDRESS: 120 Wall St, Fl 26, New York NY 10005-4005, United States DESCRIPTION: I serve on the board of trustees for my family foundation, Nathan Cummings Foundation. My role is to attend 3 board meetings a year, participating in meetings and voting on the key operations of the foundation as it pertains to governance, committee participation, core grants, staffing and executive leadership. I have no control or influence over investment decisions, nor grant making capabilities to specific 501(c)3 organizations of my personal choice. **ASE ADVISORY LLC (DBA) POSITION: ASE Advisory LLC NATURE: Business consulting, DI/A&H Insurance, Fee-based financial planning, Group / Health insurance, Life Insurance / Annuities, MF/ Securities/ VA / VL, Seminars / Educational Workshops INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/21/2025 ADDRESS: 625 MARYVILLE CENTRE DR STE 110, St Louis MO 63141, United States DESCRIPTION: The DBA is making Eric and I's team official. We want to brand ourselves as ASE Advisory including websites, signatures, letter head etc. **ASE ADVISORY LLC POSITION: Managing Partner NATURE: Business Consulting, Fee-based Financial Planning, Financial Strategies/needs analysis, life insurance/annuities, mutual funds/securities/VA/VL. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 8 START DATE: 03/01/2024 ADDRESS: 625 MARYVILLE CENTRE DR STE 110, SAINT LOUIS MO 63141, United States DESCRIPTION: Business consulting done through fee-based planning, where an annual or monthly fee is charged for a comprehensive written and deliverable financial plan, inclusive of business valuation, succession/exit plan, 401(K) or retirement plan, group benefits, etc. Products may or may not be implemented as a result of the financial plan, however, if implemented these include various forms of life insurance, disability insurance, health insurance, brokerage services, investment advisory services, and annuity sales. Compensation on commission-based products in addition to fee-based services. Target markets are business owners and closely held companies.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Alan Cummings's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Alan Cummings'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
December 22, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 625 Maryville Centre Dr Ste 110, Saint Louis, MO 63141RIA
BD
CRD#: 1137
St. Louis, MO
Current
December 22, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 625 Maryville Centre Dr Ste 110, Saint Louis, MO 63141RIA
BD
CRD#: 1137
Saint Louis, MO
Past
August 24, 2021 - December 13, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Chesterfield, MO
Past
July 21, 2021 - December 13, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Chesterfield, MO
Past
May 1, 2020 - July 2, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Chesterfield, MO
Past
September 29, 2011 - November 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBUS, OH
Past
June 15, 2011 - July 25, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
COLUMBUS, OH
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(12/22/2023)
RR
California(6/7/2024)
RR
Colorado(9/15/2025)
RR
Florida(12/22/2023)
RR
Georgia(12/22/2023)
RR
Illinois(12/22/2023)
RR
Kansas(12/22/2023)
RR
Massachusetts(12/22/2023)
RR
Michigan(12/22/2023)
RR
Missouri(12/22/2023)
IAR
Missouri(12/22/2023)
RR
New Hampshire(12/22/2023)
RR
New York(12/22/2023)
RR
North Carolina(12/22/2023)
RR
Ohio(12/22/2023)
RR
Oklahoma(12/22/2023)
RR
Texas(12/22/2023)
IAR
Texas(1/2/2024)
RR
Virginia(12/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/1/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
