Jay Thomas Harbison

Employer firm

Principal Asset Management CRD 109002

$428B regulatory AUM 137 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• 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

• 04/2011 → Present
  Principal Asset Management
  Des Moines, IA
• 01/2016 → Present
  Principal Funds Distributor
  Des Moines, IA
• 05/2020 → Present
  Principal Securities, Inc.
  Des Moines, IA

Previous Registrations

• 2010-06-02 → 2011-04-04
  Principal Securities, Inc.
  Des Moines, IA
• 2008-08-01 → 2010-01-26
  Invest Financial Corporation
  West Des Moines, IA
• 2006-11-20 → 2008-02-04
  G & W Equity Sales, Inc.
  Indianapolis, IN
  St. Paul, MN
  Indianapolis, IN
• 2006-06-14 → 2006-11-13
  Spc
  West Des Moines, IA
• 2005-07-25 → 2005-08-08
  Principal Securities, Inc.
  Des Moines, IA

Other Businesses

1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Harbison Family Revocable Trust - Trustee. Personal revocable trust- self-directed brokerage account at Schwab. No compensation provided. Not Investment related. 30652 River Bye Rd, Adel, IA 50003. 4 hours per week. 0 hours during securities trading hours. -Effective 12/07/2023. 3) Power of Attorney and Personal Trust- Thomas and Jeanne Harbison. Co-agent/Co-trustee for parents. 30652 River Bye Rd Adel, IA 50003. Not investment related. 1 hr per week, 0 hrs during trading. Effective 11/18/2022.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-07-23
• S63 Uniform Securities Agent State Law Examination
  1998-10-13

Other Names

• Jay Thomas Harbison