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JAMES JAY GANTHER
JAY GANTHER
CRD#: 2306504
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 4330 Golf Ter Ste 215
EAU CLAIRE, WI 54701
Registration History
19901995200020052010201520202025IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2022 - Present (2 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2015 - Present (9 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)1993 - 2007 (14 years)
Disclosure(s)
View By:
3/15/2001
Regulatory
Final
4/25/1988
Criminal
Final Disposition
License(s)

State Registrations

B
Colorado 5/17/2017

B
Oregon 9/28/2023

B
Florida 8/19/2021

B
Wisconsin 9/10/2015

B
Idaho 6/2/2023

IA
Wisconsin 3/24/2022

B
Minnesota 9/17/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
4330 Golf Ter Ste 215, EAU CLAIRE, WI 54701
Registered with this firm since 3/24/2022

B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
4330 Golf Ter Ste 215, EAU CLAIRE, WI 54701
Registered with this firm since 5/15/2015

Previous Registration(s)
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10/27/1993 - 10/25/2007 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) EAU CLAIRE, WI
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.