Joseph Ordonez

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

• 01/2012 → 05/2022
  John Hancock
  Huntington Beach, CA
• 02/2012 → 05/2022
  John Hancock Distributors Llc
  Lake Forest Park, WA
• 05/2022 → 02/2025
  Pensionmark Financial Group
  Santa Barbara, CA
• 10/2024 → 02/2025
  Pensionmark Securities, Llc
  Santa Barbara, CA
• 02/2025 → 10/2025
  Kestra Investment Services, Llc
  Newport Beach, CA
• 02/2025 → 10/2025
  Kestra Advisory Services, Llc
  Newport Beach, CA
• 10/2025 → Present
  Principal Life Insurance Company
  Des Moines, IA
• 10/2025 → Present
  Principal Securities
  Des Moines, IA

Previous Registrations

• 2025-02-20 → 2025-10-17
  Kestra Advisory Services, Llc
  Newport Beach, CA
• 2022-07-31 → 2025-02-12
  World Investment Advisors, Llc
  Laguna Nigel, CA
  Irvine, CA
  Huntington Beach, CA
• 2010-11-17 → 2011-05-17
  Wells Fargo Clearing Services, Llc
  Los Angeles, CA
• 2009-12-07 → 2010-11-16
  Wells Fargo Investments, Llc
  Camarillo, CA

Exams

• S63 Uniform Securities Agent State Law Examination
  2025-03-13
• S65 Uniform Investment Adviser Law Examination
  2022-07-29
• S66 Uniform Combined State Law Examination
  2009-12-05

Other Names

• Joseph Ordonez
• Joseph Albert Ordonez
• Joe Ordonez