Joseph James Carwardine

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2005 → Present
  Principal Life Insurance Co
  Minnetonka, MN
• 11/2005 → Present
  Principal Securities Inc
  Minnetonka, MN
• 06/2017 → Present
  J.J. Swanson Advisory Group, Inc.
  Minnetonka, MN
• 06/2025 → Present
  Bridge Street Wealth Strategies
  Owatonna, MN

Previous Registrations

• 2004-03-17 → 2005-10-19
  Wells Fargo Investments, Llc
  Blaine, MN

Other Businesses

**Joe Swanson Financial Services, Relationship Management, 06/01/17. **Fixed Insurance; Investment Related; 11100 Wayzata Blvd, Suite 405, Minnetonka, MN 55305; Agent; Life, Annuities, DI, LTC; Start Date: 01/01/2017; 1 hrs per month; 1 during trading hours. **Carwardine, Tighe, and Swanson, LLC; Not Investment Related; Minnetonka, MN; Co-owner; LLS formed to provide operational support, business partnering, and practice succession planning.; Start Date: 01/01/2021; 0 hrs per month; 0 during trading hours. **JJ CARWARDINE ADVISORY GROUP LLC LIMITED LIABILITY COMPANY POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/30/2023 ADDRESS: 15846 Vale St NW, Andover MN 55304-8508, United States DESCRIPTION: Sole owner of JJ Carwardine Advisory Group LLC for tax purposes to file as S Corp. **BRIDGE STREET WEALTH STRATEGIES (DBA) POSITION: Senior Financial Advisor NATURE: Other INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2025 ADDRESS: 202 W Bridge St, Suite 203, Owatonna MN 55060, United States DESCRIPTION: Marketing in partnership with Owatonna MN based local PSI Registered Representative Geoff Stamp.

Exams

• S66 Uniform Combined State Law Examination
  2004-03-05
• S63 Uniform Securities Agent State Law Examination
  2002-03-19

Other Names

• Joe Carwardine