James W. Park
PRINCIPAL SECURITIES
Fort Worth, TX 76116
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CRD#: 6989607
Professional summary
James Walton Park is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Fort Worth, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.
**JAMES PARK POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/04/1994 ADDRESS: 3004 Needles Street, Sides A and B, Euless TX 76040, United States DESCRIPTION: Owner and Property Manager of Rental Property. **INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 11/01/2018 ADDRESS: 6500 West Fwy, Suite 555, Ft Worth TX 76116, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **EULESS HISTORICAL PRESERVATION COMMITTEE POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 201 Cullum Drive, Euless TX 76040, United States DESCRIPTION: I was asked by the Mayor of the City of Euless to be on the Board for the Historical Preservation Society. It is a two-year volunteer appointment. We meet once a month for an hour to discuss business items like new exhibits, maintenance items, and so forth. The museum is only open on the 2nd Saturday of the month, and we are encouraged to volunteer as Dosins. I volunteer for a two hour shift most months. **EULESS CITIZEN'S FIRE ACADEMY ALUMI ASSOCIATION POSITION: Secretary NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2025 ADDRESS: 201 N Ector, Euless TX 76039, United States DESCRIPTION: I am secretary for the organization, which means I prepare the minutes after each meeting and distribute them to the members. At the next meeting the minutes are reviewed and voted on to be accepted into the record.
CRS (Client Relationship Summary) - RIA
Click below to view James Walton Park's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Walton Park'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 30, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6500 West Fwy Ste 555, Fort Worth, TX 76116RIA
BD
CRD#: 1137
Fort Worth, TX
Current
May 25, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6500 West Fwy Ste 555, Fort Worth, TX 76116RIA
BD
CRD#: 1137
Fort Worth, TX
Past
October 5, 2018 - June 1, 2023
EDWARD JONES
RIA
CRD#: 250
ARLINGTON, TX
Past
September 13, 2018 - June 1, 2023
EDWARD JONES
BD
CRD#: 250
ARLINGTON, 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 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(5/25/2023)
RR
Arkansas(5/3/2024)
RR
Iowa(5/25/2023)
RR
New Mexico(5/25/2023)
RR
Ohio(5/25/2023)
RR
Oklahoma(5/25/2023)
RR
Texas(5/25/2023)
IAR
Texas(5/30/2023)
RR
Utah(5/3/2024)
RR
Virginia(9/9/2025)
RR
Wisconsin(5/3/2024)
Exams
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 | ||
| 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.
