JB
Jeffrey M. Beck
PRINCIPAL SECURITIES
Waverly, IA
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CRD#: 6594971
JB
Professional summary
Jeffrey Michael Beck is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Waverly, Iowa.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Jeffrey has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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; Group Benefits, Health, Dental, Vision, Life, DI, Cancer, accident and critical illness, 4/20/16. **Wartburg College, Assistant Football Coach, 06/07/16. **Waverly-Shell Rock Youth Boys Basketball Board; Not Investment Related; 1300 10th Ave SW, Suite C, Waverly, IA 50677; Treasurer; Run tournaments, make decisions for how program will be structured. Tracking and reporting on budget.; Start Date: 06/01/2018; 1 hrs per month; 1 during trading hours. **BECK HUINKER HOLDINGS LLC POSITION: Property Rental NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2021 ADDRESS: 1140 10th Ave SW, Suite A, Waverly IA 50677, United States DESCRIPTION: Ownership of LLC: Jeff Beck=50%, Brian Huinker=50%, Brian is one of my business partners at Group Benefit Partners. Group Benefit Partners is the DBA for all of my group benefits business (OBA approved) and advising business. **ASSURED PARTNERS POSITION: Benefits Consultant & Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 180 START DATE: 01/01/2022 ADDRESS: 1140 10th Ave SW, Suite A, Waverly IA 50677, United States DESCRIPTION: I will be continuing to operate as I have for the last several years, but with all revenue going to Assured Partners. They will then be paying me a percentage of revenue. **WAVERLY-SHELL ROCK YOUTH BOYS BASKETBALL BOARD POSITION: General Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 123 16th Ave SW, Waverly IA 50677, United States DESCRIPTION: Assist with tournaments, make decisions for how program will be structured. **WARTBURG COLLEGE PRESIDENTS ADVISORY COUNCIL POSITION: Wartburg College PAC Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 10/31/2024 ADDRESS: 100 Wartburg Blvd, Waverly IA 50677, United States DESCRIPTION: The group's function is advisory in role and scope. The Council gathers once or twice a year to: Review and strengthen long-range planning efforts, Bring insights from individual work/life environments and experiences, Call the college's attention to potentially helpful new friends and prospects. Assist with other tasks appropriate to their circumstances and interests.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Michael Beck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Michael Beck'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
May 20, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 1140 10th Ave Sw Ste A, Waverly, IA 50677RIA
BD
CRD#: 1137
Waverly, IA
Current
January 26, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1140 10th Ave Sw Ste A, Waverly, IA 50677RIA
BD
CRD#: 1137
Waverly, IA
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(6/22/2022)
RR
Colorado(11/23/2021)
RR
Florida(1/19/2022)
RR
Illinois(5/19/2022)
RR
Iowa(2/16/2016)
IAR
Iowa(5/20/2019)
RR
Kansas(4/10/2018)
RR
Minnesota(3/14/2016)
RR
Missouri(4/6/2018)
RR
North Dakota(4/6/2018)
RR
South Carolina(5/19/2022)
RR
South Dakota(10/3/2024)
RR
Texas(7/7/2025)
IAR
Texas(7/7/2025)
RR
Wisconsin(2/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2019
General Securities 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.
