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Principal Securities, Inc. CRD 1137
$17.0B regulatory AUM 1,717 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-16 |
| FL | RA | APPROVED | 2017-03-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Miami | FL | 08/2016 | Present |
| Principal Securities Inc | Miami | FL | 08/2016 | Present |
| Pappas Financial Services Inc | Miami | FL | 03/2002 | Present |
Fixed insurance,Life, Annuities, LTC, DI, Health, 8/10/16, *Pappas Financial Services, Inc,President, entity used only for Health insurance, 8/10/16.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-17 |
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