Jack D. Dale

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CRD#: 6824043

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jack D Dale IV, who also goes by Jack Delmar Dale IV, Jack Dale, Jack D Dale, was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 2017. Jack had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Aliases

Jack Delmar Dale Iv | Jack Dale | Jack D Dale

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.

**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/30/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/30/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. **HAVENDALE EQUITIES LLC POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/16/2020 ADDRESS: 5312 Stone Meadow Lane, Fort Worth TX 76179, United States DESCRIPTION: Owner - duties include management, product acquisition, marketing, sales, maintenance, record keeping, accounting. The business is focused on hospitality, providing furnished homes available for rent in desirable locations for a range of available timeframes.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 21, 2024 - July 28, 2026

PRINCIPAL ADVISED SERVICES

RIA

CRD#: 297324

Fort Worth, TX

Past

October 15, 2024 - July 28, 2026

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 15, 2022 - October 10, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

January 15, 2022 - October 10, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

May 4, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Westlake, TX

Past

May 4, 2018 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Westlake, TX

Past

August 9, 2017 - October 10, 2023

TD AMERITRADE, INC.

CRD#: 7870

Westlake, TX

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 ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/3/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/18/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2017

General Securities Representative Examination

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (1/2/2026)

PRINCIPAL ADVISED SERVICES TARGET MY RETIREMENT ADV PART 2A BROCHURE (1/2/2026)

PAS ADV 2A ADVICE BROCHURE (1/2/2026)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jack D. Dale

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 5/3/2018

Series 63

Date: 8/18/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2017

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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