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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 | 2015-10-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Southport | NC | 09/2015 | Present |
| Principal Securities Inc | Southport | NC | 03/2016 | Present |
***RJ Consulting, Lean Six Sigma & Process Improvement training, 10/20/15. ***Fixed Insurance, Life, Annuities, LTC, DI, 12/14/15.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-20 |
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