JH
Joshua A. Hutt
PRINCIPAL SECURITIES
Plano, TX 75074
Some features on this profile are disabled
CRD#: 7509462
JH
Professional summary
Joshua A Hutt, who also goes by Joshua Aaron Hutt, Joshua Hutt, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Plano, Texas.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Joshua has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua Aaron Hutt | Joshua Hutt
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.
**INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 11/18/2024 ADDRESS: 9330 Lyndon B. Johnson Freeway, Suite 929, Dallas TX 75243, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **ARTAIR FINANCIAL SERVICE (DBA) POSITION: Financial Advisor NATURE: Business Consulting as Principal Fee Based, Fee-based Financial Planning as Principal Fee Based or as part of Principal Advisory, Financial Strategies as Principal Fee Based or as part of Principal Advisory, Group/Health Insurance as Principal Fee Based or referred to my wife Elisa who runs her independent insurance firm, Life Insurance/Annuities as Principal, Mutual Funds/Securities/ VA / VL as Principal, Property and Casualty Referred to my wife's independent insurance firm, Seminars/Educational Workshops as Principal Fee Based or as part of Principal Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2025 ADDRESS: 2600 Technology Dr #800, Plano TX 75074, United States DESCRIPTION: DBA to market OBA insurance products and financial services business through PSI.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua A Hutt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua A Hutt'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 4, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2600 Technology Dr Ste 800, Plano, TX 75074RIA
BD
CRD#: 1137
Plano, TX
Current
June 4, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2600 Technology Dr Ste 800, Plano, TX 75074RIA
BD
CRD#: 1137
Plano, TX
Past
December 18, 2024 - June 5, 2025
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DALLAS, TX
Past
December 18, 2024 - June 5, 2025
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DALLAS, TX
Past
May 22, 2024 - November 5, 2024
STIRLINGSHIRE INVESTMENTS
RIA
CRD#: 327779
Fate, TX
Past
May 22, 2024 - November 5, 2024
STIRLINGSHIRE INVESTMENTS
BD
CRD#: 310576
NEW YORK CITY, NY
Past
May 2, 2023 - February 9, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Westlake, TX
Past
May 2, 2023 - February 9, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
November 3, 2022 - July 25, 2023
ORION WEALTH MANAGEMENT LLC
RIA
CRD#: 313698
GARLAND, TX
Past
July 15, 2022 - May 2, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
GARLAND, 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
Texas(6/4/2025)
IAR
Texas(6/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/15/2022
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.
