JH
Jeffrey L. Hurst
PRINCIPAL SECURITIES
WESTLAKE, OH
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CRD#: 708600
JH
Professional summary
Jeffrey Lee Hurst, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Westlake, Ohio.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Jeffrey has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 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.
PRINCIPAL BANK & TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/12/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Lee Hurst's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Lee Hurst'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®
Experience
Current
October 24, 2013 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
WESTLAKE, OH
Current
October 21, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 222 S 9th St Ste 1300, Minneapolis, MN 55402RIA
BD
CRD#: 1137
Minneapolis, MN
Past
June 1, 2011 - January 18, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
SEVEN HILLS, OH
Past
June 1, 2011 - January 18, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
SEVEN HILLS, OH
Past
June 25, 2009 - April 15, 2011
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
LAKEWOOD, OH
Past
June 9, 2009 - April 15, 2011
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
LAKEWOOD, OH
Past
November 5, 2007 - June 2, 2009
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
WILLOUGHBY, OH
Past
November 5, 2007 - June 2, 2009
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
WILLOUGHBY, OH
Past
January 1, 2007 - May 14, 2007
STANCORP INVESTMENT ADVISERS, INC.
RIA
CRD#: 110228
PORTLAND, OR
Past
January 1, 2007 - May 14, 2007
STANCORP EQUITIES, INC.
BD
CRD#: 19517
CLEVELAND, OH
Past
January 25, 2006 - January 1, 2007
INVESMART ADVISORS INC
RIA
CRD#: 108731
CLEVELAND, OH
Past
January 4, 2006 - January 1, 2007
INVESMART SECURITIES, LLC
BD
CRD#: 104168
WESTLAKE, OH
Past
July 21, 1992 - February 23, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
April 17, 1985 - July 22, 1992
CENTENNIAL SECURITIES COMPANY, INC.
BD
CRD#: 7763
GRAND RAPIDS, MI
Past
December 14, 1983 - November 16, 1984
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
May 22, 1980 - November 18, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Iowa(3/16/2022)
RR
Ohio(10/21/2013)
IAR
Ohio(10/24/2013)
RR
Pennsylvania(10/24/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/14/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
