Jordan M. Janis
PRINCIPAL SECURITIES | Financial Advisor
Raleigh, NC 27612
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CRD#: 7004374
Professional summary
Jordan M. Janis, who also goes by Jordan M Janis, Jordan M. Janis, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Raleigh, North Carolina.
Jordan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Jordan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jordan M Janis | Jordan M. Janis
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.
**WAKE FOREST COLLEGE POSITION: Board of Visitors Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2024 ADDRESS: 3733 Jamestown Circle, Raleigh NC 27609, United States DESCRIPTION: The Wake Forest College Board of Visitors is the volunteer advisory board to Wake Forest College, the liberal arts college of Wake Forest University. The responsibilities of its members are to provide counsel to the Dean of Wake Forest College, advocate for the College and the University, make contacts for the College, and support the Dean's priorities for the College. **SMITHFIELD MEDICAL PROPERTIES, LLC POSITION: Investor NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2020 ADDRESS: 3733 Jamestown Circle, Raleigh NC 27609, United States DESCRIPTION: Investor in my father's private real estate venture, a medical office building in Smithfield, NC. My role is a passive investor. My ownership interest is $50,000, or 2.27%. I do not make any investment decisions, nor am I involved in the management of the property or the LLC. Other investors include physicians and employees of North Carolina Heart & Vascular. **ERIC AND KENDYL JANIS POSITION: Real Estate Loan NATURE: Promissory Notes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2024 ADDRESS: 3733 Jamestown Circle, Raleigh NC 27609, United States DESCRIPTION: I owe a promissory note to my parents, Eric and Kendyl Janis, related to the purchase of my first home. **WAKERALEIGH POSITION: President-Elect NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2024 ADDRESS: 3733 Jamestown Circle, Raleigh NC 27609, United States DESCRIPTION: WAKERaleigh is a volunteer-led group dedicated to engaging Wake Forest University alumni, parents, and friends in the area. We plan a variety of programs throughout the year for all ages to participate in social, athletic, networking, and service opportunities. As president-elect, I am in charge of organizing the events. **INSURANCE POSITION: Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/14/2024 ADDRESS: 4141 Parklake Ave Ste 450, Raleigh NC 27612, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, AD&D.
CRS (Client Relationship Summary) - RIA
Click below to view Jordan M. Janis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jordan M. Janis'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
June 17, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Current
June 13, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Past
June 23, 2022 - June 4, 2024
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
RALEIGH, NC
Past
June 23, 2022 - June 4, 2024
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
RALEIGH, NC
Past
January 4, 2019 - March 29, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Raleigh, NC
Past
December 7, 2018 - March 29, 2022
MORGAN STANLEY
BD
CRD#: 149777
Raleigh, NC
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
New Jersey(1/21/2025)
RR
New York(4/22/2025)
RR
North Carolina(6/13/2024)
IAR
North Carolina(6/17/2024)
RR
South Carolina(12/17/2024)
RR
Virginia(6/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2018
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.
Financial AdvisorCRD#: 1137Raleigh, NC 27612TRUST BUT VERIFY
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Contact information
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