DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JAY THOMAS HARBISON

Advisor at PRINCIPAL ASSET MANAGEMENT

DES MOINES, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b9026c2b-8c16-afa7-e349-28bd16a71cbd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 25, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRINCIPAL ASSET MANAGEMENT
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 13, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 13, 1998
First registration: Jul 25, 2005
Dual registered: yes, broker-dealer
Other names: JAY THOMAS HARBISON
IAPD individual key: 3125231

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL ASSET MANAGEMENT	Other adviser	Apr 4, 2011	n/a	yes	DES MOINES, IA	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 2, 2010	Apr 4, 2011	no	DES MOINES, IA	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Aug 1, 2008	Jan 26, 2010	no	WEST DES MOINES, IA	Previous registration
G & W EQUITY SALES, INC.	n/a	Nov 20, 2006	Feb 4, 2008	no	INDIANAPOLIS, IN\|ST. PAUL, MN\|INDIANAPOLIS, IN	Previous registration
Spc	Bd affiliated wealth	Jun 14, 2006	Nov 13, 2006	no	WEST DES MOINES, IA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jul 25, 2005	Aug 8, 2005	no	DES MOINES, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRINCIPAL SECURITIES, INC.	PRINCIPAL ASSET MANAGEMENT	Apr 4, 2011	Apr 4, 2011	0	Firm change	Other
INVEST FINANCIAL CORPORATION	PRINCIPAL SECURITIES, INC.	Jan 26, 2010	Jun 2, 2010	127	Firm change	Other
G & W EQUITY SALES, INC.	INVEST FINANCIAL CORPORATION	Feb 4, 2008	Aug 1, 2008	179	Firm change	Other
Spc	G & W EQUITY SALES, INC.	Nov 13, 2006	Nov 20, 2006	7	Firm change	Other
PRINCIPAL SECURITIES, INC.	Spc	Aug 8, 2005	Jun 14, 2006	310	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPAL ASSET MANAGEMENTRegistered adviserregistration: current employment
Apr 4, 2011 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 2, 2010 to Apr 4, 2011factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Aug 1, 2008 to Jan 26, 2010factForm ADV
→ G & W EQUITY SALES, INC.Registered adviserregistration: previous registration
Nov 20, 2006 to Feb 4, 2008factForm ADV
→ SPCRegistered adviserregistration: previous registration
Jun 14, 2006 to Nov 13, 2006factForm ADV

Dated events

No dated event names this entity yet.