Christopher E Janda

PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

Contact Information

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

Years of Experience

13 years in the financial services industry

Current & Past Employments

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

510 East Locust Street Suite 200, Des Moines, IA 50309

January 24, 2025 - Present

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

510 East Locust Street Suite 200, Des Moines, IA 50309

January 24, 2025 - Present

OSAIC FA, INC.·CRD# 3978

RIA

Des Moines, IA

April 19, 2023 - January 24, 2025

OSAIC FA, INC.·CRD# 3978

BD

Des Moines, IA

April 19, 2023 - January 24, 2025

PARK AVENUE SECURITIES LLC·CRD# 46173

RIA

Clive, IA

February 13, 2018 - March 31, 2023

PARK AVENUE SECURITIES LLC·CRD# 46173

BD

Clive, IA

June 28, 2017 - March 31, 2023

NYLIFE SECURITIES LLC·CRD# 5167

BD

Hiawatha, IA

January 26, 2015 - July 15, 2016

MUTUAL OF OMAHA INVESTOR SERVICES, INC.·CRD# 611

BD

Iowa City, IA

February 20, 2013 - December 22, 2014

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone Number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

Arbitration

31

Bond

7

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

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.

1) Inspire DSM Wealth Management - 510 East Locust Street, Ste. 200, Des Moines, IA 50309 Category: Insurance Investment Related: Yes Title: Owner Duties: Sale and service of Accident and Health Insurance, Disability Insurance, Fixed Annuities, and Traditional Life Insurance Start Date: 4/1/2023 Hours per Month: 40 Hours per Month during trading hours: 20 Update Form BR: Yes Website Address: None 2) Inspire DSM, LLC - 510 East Locust Street, Ste. 200, Des Moines, IA 50309 Category: Insurance Investment Related: Yes Title: Owner Duties: Sell property and casualty insurance Start Date: 4/1/2023 Hours per Month: 80 Hours per Month during trading hours: 40 Update Form BR: No 3) BULL MOOSE CLUB DSM POSITION: President NATURE: Networking with Conservatives 45 and under. We do not donate to campaigns or political figures. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2023 ADDRESS: 510 East Locust St., Ste 200, Des Moines IA 50309, United States DESCRIPTION: Try to recruit new members, Plan member meetings and events, set up speakers for the group. I am NOT on the Checking account. 4) INSPIRE DSM, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2023 ADDRESS: 510 East Locust Street, Suite 200, Des Moines IA 50309, United States DESCRIPTION: sell property and casualty 5) INSPIRE FINANCE DSM POSITION: Founder NATURE: This is just a DBA no structure we use this name for marketing and to write our insurances. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2023 ADDRESS: 510 EAST LOCUST STREET, Suite 200, DES MOINES IA 50309, United States DESCRIPTION: Sale and service of Accident and Health Insurance, Disability Insurance, Fixed Annuities, and Traditional Life Insurance. This is also the company name we use to sell investments and charge planning fees 6) EQUITY BOOST LLC POSITION: owner NATURE: It is a hard money lender to start with and I will get approval if we ever add additional services like mortgage origination or underwriting certifications. The company will be an LLC INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 05/04/2026 ADDRESS: 6117 NE sherman drive, Ankeny IA 50021, United States DESCRIPTION: I will run this company which will be small and mostly automated only through the website. I will look for and approve hard money loans only in Iowa loaning money to LLC's looking to buy rental properties. There is another part of the website that talks about mortgages to owner occupied homes but that will not be used it is just a placeholder for now but I do not have any underwriting credentials or is the company approved to write these kinds of loans and will not use that for a few years. I will notify Osaic of any changes to this immediately 7) KNOXORA LLC POSITION: Owner NATURE: Single Member LLC this would be a software or technology company. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 07/23/2026 ADDRESS: 6117 NE Sherman Drive, Ankeny IA 50021, United States DESCRIPTION: When I created my company Equity Boost I had to create an Loan Origination System and when I did that I created unbeknownstto me a backend dashboard system with A2P capabilities and realized that I had a real product where I could use my existing code to create backend dashboards and apps to sell to associations, political campaigns and any other group that needs help organizing emails texting and other abilities. So what I did is take that code and made a company that can sell this IP to them that can help them text email and organize their backends. The cool thing is I already have the code and all I need to do is add labels and a few different texts to make it custom for them. The set up for each company is easy and fast since the base code it already built and works.

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

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".

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(1/24/2025)

RR

Colorado
(1/24/2025)

RR

Florida
(1/24/2025)

RR

Illinois
(1/24/2025)

RR

Iowa
(1/24/2025)

IAR

Iowa
(1/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 2013About the Series 6 exam

FINRA

SRO Registrations

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Christopher E Janda's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher E Janda's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#