JO
Jason P. Obermeier
PRINCIPAL SECURITIES
Raleigh, NC 27612
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CRD#: 7720290
JO
Professional summary
Jason Paul Obermeier, who also goes by Jason Obermeier, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Raleigh, North Carolina.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Jason has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason Obermeier
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: Jason Obermeier NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/17/2025 ADDRESS: 4141 Parklake Avenue, Suite 450, Raleigh NC 27612, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, health, and group benefits. **JASON OBERMEIER POSITION: Composer Royalties NATURE: Royalty Earnings INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 3918 Massey Run, Raleigh NC 27616, United States DESCRIPTION: Jason Obermeier previously worked as a composer for film and television and continues to receive royalty payments for music composed and published in the past. This activity is passive in nature and does not involve any ongoing time commitment or business operations. **JASON OBERMEIER POSITION: Real Estate Sales NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 04/19/2022 ADDRESS: 3918 Massey Run, Raleigh NC 27616, United States DESCRIPTION: Jason Obermeier is engaged in a passive real estate business involving the purchase and resale or rental of vacant land and/or real property. This activity requires no more than five hours per week and is conducted outside of investment advisory hours. Jason Obermeier does not hold a real estate license and does not act as a broker or agent.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Paul Obermeier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Paul Obermeier'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
March 18, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Current
March 18, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Past
July 5, 2023 - March 19, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Raleigh, NC
Past
June 16, 2023 - March 19, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
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
California(3/18/2025)
RR
Colorado(7/9/2025)
RR
Florida(4/14/2025)
RR
Georgia(3/18/2025)
RR
Illinois(9/12/2025)
RR
Indiana(7/17/2025)
RR
Iowa(3/18/2025)
RR
Kansas(3/18/2025)
RR
Massachusetts(3/18/2025)
RR
Michigan(8/22/2025)
RR
Nebraska(3/18/2025)
RR
New York(3/18/2025)
RR
North Carolina(3/18/2025)
IAR
North Carolina(3/18/2025)
RR
South Carolina(3/18/2025)
RR
Tennessee(7/29/2025)
RR
Texas(3/18/2025)
IAR
Texas(3/18/2025)
RR
Virginia(4/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/16/2023
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.
CRD#: 1137Raleigh, NC 27612TRUST BUT VERIFY
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