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Detailed Report
JASON D TOPP
CRD#: 4936575
IA
Investment Adviser
B
Broker
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 Lithia, FL
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 Lithia, FL
Registration History
20062008201020122014201620182020202220242026IAPRINCIPAL ASSET MANAGEMENT (CRD# 109002)2022 - Present (3 years)BPRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD# 43261)2014 - Present (10 years)BMORGAN STANLEY (CRD# 149777)2009 - 2014 (4 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2005 - 2009 (3 years)IAMORGAN STANLEY (CRD# 149777)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Florida 7/26/2018
B
Georgia 3/29/2021
IA
Florida 1/21/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL ASSET MANAGEMENT (CRD#:109002)
Lithia, FL
Registered with this firm since 1/21/2022
B
PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261)
Lithia, FL
Registered with this firm since 5/16/2014
Previous Registration(s)
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IA
 03/03/2014 - 05/14/2014 MORGAN STANLEY (CRD#:149777) WEST DES MOINES, IA
B
 06/01/2009 - 05/14/2014 MORGAN STANLEY (CRD#:149777) WEST DES MOINES, IA
B
 12/06/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.