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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-11-05
  • OH RA
    APPROVED
    Since 2021-11-05

Branch Locations

145 N Miami Ave, Bradford, OH 45308 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Fifth Third Securities Lexington KY 05/2012 04/2018
Mass Mutual Life Insurance Company Bradford OH 06/2018 11/2021
Mml Investors Services, Llc Bradford OH 06/2018 11/2021
Principal Securities Inc Bradford OH 11/2021 Present
Fashco & Associates Bradford OH 11/2021 Present
  • 05/2012 → 04/2018
    Fifth Third Securities
    Lexington, KY
  • 06/2018 → 11/2021
    Mass Mutual Life Insurance Company
    Bradford, OH
  • 06/2018 → 11/2021
    Bradford, OH
  • 11/2021 → Present
    Bradford, OH
  • 11/2021 → Present
    Fashco & Associates
    Bradford, OH
Previous Registrations
  • 2018-06-29 → 2021-11-10
    Cincinnati, OH
    Bradford, OH
  • 2012-05-08 → 2018-05-11
    Paris, KY
    Lexington, KY
    Cynthiana, KY
    Lexington, KY
    Richmond, KY
    Lexington, KY
    Lexington, KY
    Lexington, KY
    Lima, OH
    Lima, OH
    Lima, OH
    Lima, OH
    Bellefontaine, OH
    Urbana, OH
    Wapakoneta, OH
  • 2009-12-23 → 2012-05-09
    Piqua, OH
    Fort Loramie, OH
    Sidney, OH
    Minster, OH
    Sidney, OH
    Anna, OH
Other Businesses

INSURANCE POSITION: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2021 ADDRESS: 145 N Miami Ave, Bradford OH 45308, United States DESCRIPTION: Fixed Annuity, Life, LTC DI JAKE FASHNER POSITION: OWNER NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2021 ADDRESS: 145 N MIAMI AVENUE, BRADFORD OH 45308, United States DESCRIPTION: RENTAL PROPERTY JOALAN FARMS POSITION: OWNER NATURE: FARMING INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2021 ADDRESS: 145 N MIAMI AVENUE, BRADFORD OH 45308, United States DESCRIPTION: OWNER INSURANCE POSITION: HEALTH INSURANCE NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2021 ADDRESS: 145 N. MIAMI AVENUE, BRADFORD OH 45308, United States DESCRIPTION: MEDICARE & MEDICAID THRU UHC FASHCO & ASSOCIATES POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 145 N Miami Ave, Bradford OH 45308-1013, United States DESCRIPTION: Company to process PSI business thru FASHNER ENTERPRISES POSITION: owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2018 ADDRESS: 145 N Miami Ave, Bradford OH 45308-1013, United States DESCRIPTION: company for running rentals thru

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-21
S63 Uniform Securities Agent State Law Examination 2008-05-14
  • S66 Uniform Combined State Law Examination
    2009-12-21
  • S63 Uniform Securities Agent State Law Examination
    2008-05-14
Other Names
  • Jake Alan Fashner

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