Joshua James Herbst
Investment adviser representative at Principal Securities, Inc.
21 yearsExperience
1 stateRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
21 years in the industry.
- Principal Securities, Inc.Aug 2017 to now
- Principal Life Insurance CompanyAug 2017 to now
- Union Financial, Inc.Apr 2021 to Sep 2022
- MML Investors Services, LLCMar 2017 to Aug 2017
- Massachusetts Mutual Life Insurance CompanyJul 2016 to Aug 2017
- Metlife Securities, Inc.Jul 2001 to Aug 2017
- Metropolitan Life Ins CoJul 2001 to Aug 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2002
- Series 65 · Uniform Investment Adviser Law2012
State registrations
Registered as an investment adviser representative in 1 state (IA).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4422874
- Firm CRD
- 1137