JH
Jonathan G. Holland
PRINCIPAL SECURITIES
Kansas City, MO 64151
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CRD#: 6446488
JH
Professional summary
Jonathan G Holland, who also goes by Jon Holland, Jonathan Holland, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Kansas City, Missouri.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jonathan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Holland | Jonathan Holland
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 / Pinnacle Planning (DBA) POSITION: Financial Advisor NATURE: Life Insurance, Fee based planning, Investments, Annuities, Employer sponsored plans INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/01/2025 ADDRESS: 5775 NW 64th Terrace, Suite 202, Kansas City MO 64151, United States DESCRIPTION: Pinnacle Planning is a DBA marketing insurance and financial services products and services to individuals and businesses. **OUTSIDE INSURANCE SALES POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 04/01/2025 ADDRESS: 5775 NW 64th Terrace, Suite 202, Kansas City MO 64151, United States DESCRIPTION: Insurance and financial services sales through Crump and other outside carriers. **PINNACLE PLANNING POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/29/2020 ADDRESS: 5775 NW 64th Terrace, Suite 202, Kansas City MO 64151, United States DESCRIPTION: Owner of LLC for recordkeeping purposes. **BRIGHTHOUSE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/25/2025 ADDRESS: 5775 NW 64th Terrace, Suite 202, Kansas City MO 64151, United States DESCRIPTION: I am just requesting to be able to fully service several annuities that I currently have in place with Brighthouse. These were sold when I was at Edward Jones & Cetera in the past. These are all the same product, Assured Edge Income Builder. This product is approved at Principal in NY only. This is a fixed annuity. These clients will all be taking income from this annuity by the end of this year. There will not be investment risk. There are no riders such as Long Term Care or any bonuses associated to the value of the annuity.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan G Holland's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan G Holland'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
April 15, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5775 Nw 64th Ter Ste 202, Kansas City, MO 64151RIA
BD
CRD#: 1137
Kansas City, MO
Current
April 15, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5775 Nw 64th Ter Ste 202, Kansas City, MO 64151RIA
BD
CRD#: 1137
Kansas City, MO
Past
March 21, 2024 - April 4, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Kansas City, MO
Past
November 23, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Kansas City, MO
Past
November 23, 2020 - April 4, 2025
CETERA ADVISORS LLC
BD
CRD#: 10299
Kansas City, MO
Past
July 2, 2015 - November 24, 2020
EDWARD JONES
RIA
CRD#: 250
KANSAS CITY, MO
Past
April 22, 2015 - November 24, 2020
EDWARD JONES
BD
CRD#: 250
KANSAS CITY, MO
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(4/15/2025)
RR
California(4/15/2025)
RR
Kansas(4/15/2025)
IAR
Kansas(4/16/2025)
RR
Missouri(4/15/2025)
IAR
Missouri(4/15/2025)
RR
New York(4/15/2025)
RR
North Carolina(4/16/2025)
RR
Ohio(4/15/2025)
RR
Oregon(4/15/2025)
RR
Texas(4/15/2025)
IAR
Texas(4/15/2025)
Exams
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.
