Joanna Patricia Swanson
Investment Adviser Representative at Principal Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joanna Patricia Swanson is an investment adviser representative with Principal Securities, Inc. in Elkhorn, NE, where they have been registered since 2025. They have worked in the securities industry since 2012 and have been registered with 4 firms, including Cetera Advisor Networks LLC and First National Capital Markets. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Nebraska.
Office
Advisors at this office: 23
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Nebraska
- Broker:
1 state or territory
Nebraska
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- First National BANK OF OmahaMar 2006 – Jul 2018Omaha, NE
- First National Capital MarketsSep 2011 – Aug 2018Omaha, NE
- Cetera Advisor Networks LLCOct 2018 – Mar 2025El Segundo, CA
- CWM, LLCApr 2019 – Mar 2025Omaha, NE
- Principal Life Insurance CompanyMar 2025 – no end date reportedElkhorn, NE
- Principal Securities, Inc.Mar 2025 – no end date reportedElkhorn, NE
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Principal Securities, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,635
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Des Moines, IA
- SEC file number:
- 801-54949
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Principal Securities, Inc.
Showing 12 of 1,635 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joanna Patricia Swanson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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