SL
Sarah J. Lawyer-foust
PRINCIPAL SECURITIES
West Des Moines, IA 50266
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CRD#: 6670829
SL
Professional summary
Sarah Jann Lawyer-foust, who also goes by Sarah Jann Lawyer, Sarah Jann Nordin, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in West Des Moines, Iowa.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Sarah has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Jann Lawyer | Sarah Jann Nordin
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.
**JIM L HARVEY POSITION: Bookkeeper NATURE: bookkeeping INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 311 W Market St, St Charles IA 50240, United States DESCRIPTION: Jim L Harvey is a previous employer and currently a financial advisor with Principal Securities, under a retirement contract. During my employment under Jim, I provided bookkeeping services for his business and personal finances. After my full-time employment ended with Jim, I have continued to provide bookkeeping services for his personal and business finances. **HEARTLAND FINANCIAL RESOURCE GROUP POSITION: Investment Advisor Representative INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 6/1/2024 ADDRESS: 6701 Westown Parkway Suite 220, West Des Moines IA 50266 DESCRIPTION: I am a new investment advisor representative working with Ryan Swalwell DBA Heartland Financial Resource Group. Ryan Swalwell/dba and I do life/retirement planning from individual disability to term life, permanent life including variable universal life and survivor universal life insurance. Investments including mutual funds direct, brokerage, fee-based accounts, fixed annuities, index annuities and variable annuities. Employer plans - group health, life and DI benefits, SIMPLE and 401k plans. **FIXED INSURANCE POSITION: Registered Representative NATURE: Fixed insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 72 START DATE: 6/1/2024 ADDRESS: 6701 Westown Parkway Suite 220, West Des Moines IA 50266 DESCRIPTION: Fixed insurance: life, disability, annuities, long term care, health, Medicare supplements and group benefits.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Jann Lawyer-foust's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah Jann Lawyer-foust'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 23, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 220, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Current
February 15, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 220, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, 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(8/6/2024)
RR
Colorado(10/8/2024)
RR
Illinois(8/6/2024)
RR
Iowa(4/23/2024)
IAR
Iowa(4/23/2024)
RR
Kansas(8/6/2024)
RR
Michigan(5/13/2025)
RR
Minnesota(11/7/2024)
RR
Missouri(8/6/2024)
RR
New Mexico(11/7/2024)
RR
Oregon(9/12/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2022
General Securities Representative ExaminationGeneral 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#: 1137West Des Moines, IA 50266TRUST BUT VERIFY
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