JR
Jeffrey J. Riegle
PRINCIPAL SECURITIES
Woodbury, MN 55125
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CRD#: 6461243
JR
Professional summary
Jeffrey James Riegle, who also goes by Jeff Riegle, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Woodbury, Minnesota.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jeffrey has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Riegle
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.
EMPLOYER SUPPORT OF THE GUARD AND RESERVE POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 08/15/2022 ADDRESS: 1607 Morningside Rd, Stillwater MN 55082, United States DESCRIPTION: Employer Outreach: Develop relationships with employers to promote advocacy for service in the Guard and Reserve. Military Outreach: Inform and educate members of the Guard and Reserve regarding their employment rights and responsibilities under USERRA. INSURANCE FIXED INSURANCE POSITION: Insurance Fixed Insurance NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/15/2022 ADDRESS: 724 Bielenberg Drive. Suite 131, Woodbury MN 55125, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. THE FOUNDATION OF ST. ANDREW'S POSITION: Board Committee Member - Marketing Committee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/20/2023 ADDRESS: 900 Stillwater Road, Mahtomedi MN 55115, United States DESCRIPTION: This would be an ex-officio non-voting board position to start, and likely a voting board member later this year or next, as people step down. Currently, I would be on the marketing committee. The mission of the foundation is to support St. Andrew's Lutheran Church in Mahtomedi by supporting mission efforts that reach beyond the annual budget of the congregation, to broaden the congregations' understanding of Christian stewardship, and to assist the congregation members in achieving their charitable dreams. Not touching money.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey James Riegle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey James Riegle'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
June 16, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 724 Bielenberg Dr Ste 131, Woodbury, MN 55125RIA
BD
CRD#: 1137
Woodbury, MN
Current
June 14, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 724 Bielenberg Dr Ste 131, Woodbury, MN 55125RIA
BD
CRD#: 1137
Woodbury, MN
Past
July 21, 2021 - June 22, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROSEVILLE, MN
Past
July 21, 2021 - June 22, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
ROSEVILLE, MN
Past
July 7, 2015 - July 21, 2021
WADDELL & REED
RIA
CRD#: 866
SAVAGE, MN
Past
June 15, 2015 - July 21, 2021
WADDELL & REED
BD
CRD#: 866
SAVAGE, MN
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
Alabama(10/8/2024)
RR
Arizona(6/23/2022)
RR
Arkansas(6/23/2022)
RR
California(6/14/2022)
RR
Colorado(1/2/2025)
RR
District of Columbia(10/10/2024)
RR
Florida(6/15/2022)
RR
Illinois(6/28/2022)
RR
Indiana(7/14/2022)
RR
Massachusetts(6/15/2022)
RR
Michigan(6/16/2022)
RR
Minnesota(6/23/2022)
IAR
Minnesota(6/23/2022)
RR
Missouri(6/14/2022)
RR
New Jersey(6/24/2022)
RR
Ohio(6/14/2022)
RR
Oklahoma(6/27/2022)
RR
South Carolina(6/24/2022)
RR
Tennessee(4/9/2025)
RR
Texas(6/14/2022)
IAR
Texas(6/16/2022)
RR
Virginia(6/25/2022)
RR
Washington(6/24/2022)
RR
Wisconsin(6/15/2022)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Woodbury, MN 55125TRUST BUT VERIFY
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