Jason Edward Rhodes

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:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2019-03-27

PA RA
APPROVED

Since 2019-03-27

Branch Locations

2100 Georgetown Dr Ste 100, Sewickley, PA 15143 • United States

Cheswick, PA • United States

Disclosures

2 disclosure categories 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sagepoint Financial, Inc.	Phoenix	AZ	01/2009	03/2019
Principal Life Insurance Company	Sewickley	PA	03/2019	Present
Principal Securities Inc	Sewickley	PA	03/2019	Present

01/2009 → 03/2019

Sagepoint Financial, Inc.

Phoenix, AZ
03/2019 → Present

Principal Life Insurance Company

Sewickley, PA
03/2019 → Present

Principal Securities Inc

Sewickley, PA

Previous Registrations

2005-10-31 → 2019-03-15

Osaic Services, Inc.

Oakmont, PA

Phoenix, AZ
2003-07-02 → 2005-10-31

Sunamerica Securities, Inc.

Pittsburgh, PA

Other Businesses

***Fixed Insurance; Investment Related; ; Agent; Fixed: Annuities, LI, DI, LTC Group: LI, DI; Start Date: 03/01/2019; 40 hrs per month; 40 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-06-17
S63	Uniform Securities Agent State Law Examination	1996-03-28

S65 Uniform Investment Adviser Law Examination

2002-06-17
S63 Uniform Securities Agent State Law Examination

1996-03-28

View on SEC IAPD