Katherine M. Jacobson
PRINCIPAL SECURITIES
Minnetonka, MN 55305
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CRD#: 6627803
Professional summary
Katherine M Jacobson, CFP®, ChFC®, CLU®, who also goes by Katherine M Jacobson, Katherine Jacobson, Katie M Jacobson, Katie Jacobson, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Minnetonka, Minnesota.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Katherine has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine M Jacobson | Katherine Jacobson | Katie M Jacobson | Katie Jacobson
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 POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/16/2024 ADDRESS: Principal Financial Group, 11100 Wayzata Blvd., Ste. 405, Minnetonka MN 55305, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **WOMEN'S HEALTH LEADERSHIP TRUST POSITION: Mentor & Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 6417 Penn Ave S, Suite 8, ATM5, Minneapolis MN 55423, United States DESCRIPTION: Current member of the healthcare-specific women's networking group. **UNIVERSITY OF MINNESOTA WOMENINVESTED IN LEADERSHIP & LEARNING (W.I.L.L.) PROGRAM POSITION: Mentor NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: 240 Williamson Hall 231 Pillsbury Dr. S.E., Minneapolis MN 55455, United States DESCRIPTION: Mentor for UMN D1 athletes. **BOLD VENTURES LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 11133 Kinsley Street, Eden Prairie MN 55344, United States DESCRIPTION: Speaker on non-investment related topics; presentations on how to use social media, LinkedIn, personal branding, networking, & one-off topics. **AMERICAN SWEDISH INSTITUTION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/18/2025 ADDRESS: 2600 Park Ave, Minneapolis MN 55344, United States DESCRIPTION: I will be a Board Member at ASI. I will help the organization to build community, strategize about ASI's growth & impact into the future, & support ASI as a whole.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine M Jacobson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine M Jacobson'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®
CFP®
Start date: 2019
Experience
Current
August 23, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
Current
August 23, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
Past
November 27, 2023 - August 22, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
MINNETONKA, MN
Past
November 9, 2023 - August 22, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MINNETONKA, MN
Past
May 17, 2016 - November 3, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MINNEAPOLIS, 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
Colorado(9/11/2024)
RR
Maryland(5/15/2025)
RR
Michigan(9/11/2024)
RR
Minnesota(8/23/2024)
IAR
Minnesota(8/23/2024)
RR
New York(9/11/2024)
RR
North Dakota(9/16/2024)
RR
South Dakota(2/19/2025)
RR
Texas(9/11/2024)
IAR
Texas(11/1/2024)
RR
Virginia(9/11/2024)
RR
Washington(9/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/29/2019
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.
