JI
Jesse J. Ickes
PRINCIPAL SECURITIES
ALTOONA, PA 16602
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CRD#: 6491944
JI
Jesse Joseph IckesPRINCIPAL SECURITIES
Professional summary
Jesse Joseph Ickes, AIF® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Altoona, Pennsylvania.
Jesse is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Jesse has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
None
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.
**Fixed Insurance; Investment Related; Fixed life, fixed annuities, DI, LTC, group, health, P&C; Start Date: 1 hrs per month; during trading hours. **Altoona City Council; Not Investment Related; Altoona, PA; City Council Member; Vote on annual budget with no financial involvement. Vote on making minimum municipal obligations to the defined benefit fund, but no pension or investment related activities. Will participate on committees.; Start Date: 01/01/2020; 4 hrs per month; 0 during trading hours. **BECK, SMITHBOWER, ICKES FINANCIAL, LLC POSITION: 45% Owner & VP NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2022 ADDRESS: 350 Lakemont Park Blvd., Suite 3, Altoona PA 16602, United States DESCRIPTION: I'm 45% owner of the LLC and VP. Responsible for day-to-day activities when President of LLC delegates such. LLC pays our office employee(s), handles rent and commission income from group benefits such as health insurance. Not investment related. **FIRST BAPTIST CHURCH POSITION: Trustee (Board Member) NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1209 17th Street, Altoona PA 16601, United States DESCRIPTION: Trustees serve in a leadership role of the church. We approve the annual budget and overall church operations relating to operations and capital improvements. **ALTOONA WATER AUTHORITY POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/18/2024 ADDRESS: 900 Chestnut Avenue, Altoona PA 16602, United States DESCRIPTION: Serve as a board member in part of my duties on my previously disclosed OBA of Altoona City Council. The Altoona Water Authority is owned by the City of Altoona. 1hr/mo. For monthly scheduled board meetings. **CITY OF ALTOONA PENNSYLVANIA PLANNING COMMISSION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2024 ADDRESS: 1301 12th Street, Altoona PA 16601 DESCRIPTION: Part of my previously disclosed OBA for Altoona City Council, I've been appointed to be on the City of Altoona's Planning Commission. We review and made decisions for subdivision and land-development that's taking place in the City. **KIWANIS CLUB OF ALTOONA POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2025 ADDRESS: 809 Spruce Street, Hollidaysburg PA 16648 DESCRIPTION: Kiwanis Club of Altoona is a service-club that supports children within our community. I serve on the board as President Elect and will be President of the organization next year. We meet Wednesdays for lunch and fellowship along with service programs throughout the year. **FIRST BAPTIST CHURCH POSITION: Deacon NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 1209 17th Street, Altoona PA 16601 DESCRIPTION: Deacons oversee the spiritual guidance of the church working with our Pastors and church leadership to share the Gospel of Jesus Christ. **ALTOONA WATER AUTHORITY POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/18/2024 ADDRESS: 900 Chestnut Avenue, Altoona PA 16602 DESCRIPTION: Serve as a board member in part of my duties on my previously disclosed OBA of Altoona City Council. The Altoona Water Authority is owned by the City of Altoona. 1hr/mo. For monthly scheduled board meetings. Not compensated for serving on the board and I have no check writing or involvement in any funds.
CRS (Client Relationship Summary) - RIA
Click below to view Jesse Joseph Ickes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jesse Joseph Ickes'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®
Experience
Current
February 6, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 350 Lakemont Park Blvd Ste 3, Altoona, PA 16602RIA
BD
CRD#: 1137
ALTOONA, PA
Current
September 30, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 350 Lakemont Park Blvd Ste 3, Altoona, PA 16602RIA
BD
CRD#: 1137
ALTOONA, PA
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(4/14/2025)
RR
California(3/20/2018)
RR
Colorado(3/20/2018)
RR
District of Columbia(3/25/2024)
RR
Florida(6/15/2017)
RR
Georgia(3/20/2018)
RR
Illinois(2/28/2022)
RR
Indiana(3/8/2017)
RR
Louisiana(4/1/2019)
RR
Maine(4/6/2023)
RR
Maryland(5/7/2021)
RR
Michigan(1/31/2020)
RR
Mississippi(7/18/2025)
RR
Montana(1/17/2018)
RR
Nevada(12/8/2021)
RR
New Jersey(12/8/2021)
RR
New York(3/20/2018)
RR
North Carolina(1/19/2021)
RR
Ohio(3/20/2018)
RR
Pennsylvania(10/28/2016)
IAR
Pennsylvania(2/6/2017)
RR
South Carolina(4/20/2021)
RR
Tennessee(7/28/2021)
RR
Texas(12/8/2021)
IAR
Texas(12/12/2021)
RR
Virginia(3/20/2018)
RR
Washington(1/28/2020)
RR
West Virginia(3/14/2018)
Exams
State Security Law Exam
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 |
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#: 1137Altoona, PA 16602TRUST BUT VERIFY
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