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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2024-03-04 |
Branch Locations
Wesley Chapel, NC • United States
711 High St, Des Moines, IA 50392 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 12/2010 | 11/2020 |
| Tiaa | Charlotte | NC | 12/2010 | 11/2020 |
| Truist Investment Services, Inc. | Charlotte | NC | 10/2021 | 12/2023 |
| Truist Advisory Services, Inc. | Charlotte | NC | 10/2021 | 12/2023 |
| Vanguard | Charlotte | NC | 05/2021 | 06/2021 |
| Unemployed | Wesley Chapel | NC | 11/2020 | 05/2021 |
| Unemployed | Wesley Chapel | NC | 06/2021 | 10/2021 |
| Unemployed | Wesley Chapel | NC | 12/2023 | 02/2024 |
| Principal Securities, Inc. | Wesley Chapel | NC | 02/2024 | Present |
| Principal Life Insurance Company | Wesley Chapel | NC | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 2011-01-28 |
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