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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2025-10-14 |
| CA | RA | APPROVED | 2024-08-01 |
| WA | RA | APPROVED | 2023-04-06 |
| TX | RA | APPROVED_RES | 2022-02-17 |
Branch Locations
Idaho Falls, ID • United States
1010 W Alluvial Ave Ste 111, Fresno, CA 93711 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc (F.K.A Linsco Private Ledger) | Fresno | CA | 08/2005 | 08/2018 |
| Principal Life Insurance Company | Richland | WA | 09/2018 | Present |
| Principal Securities Inc | Richland | WA | 08/2018 | Present |
**Fixed Insurance; Investment Related; 1350 E Spruce Ave, Fresno, CA 93720; Agent; Life, Annuities, LTC, DI, Health; Start Date: 09/18/2018; 3 hrs per month; 3 during trading hours. **NA POSITION: RV Rental NATURE: RV Rental INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2024 ADDRESS: 2706 Sawgrass Loop, Richland WA 99354, United States DESCRIPTION: My husband and I have an RV that we rent out when we are not using it personally. We have it listed on 2 different RV rental websites. My husband handles all administration, scheduling and money transactions. My duties include cleaning the RV and washing linens. We get 1-2 rentals per month and the rental income that we receive goes toward our RV rental loan payment of $871. **IDAHO FALLS RESCUE MISSION POSITION: Community Advisory Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2026 ADDRESS: 840 Park Ave, Idaho Falls ID 83402, United States DESCRIPTION: As a board member, I will help review matters within its scope, provide recommendations to the executive board, care out board decisions, serve as a resource for IFRM management and staff, serve on board committees and/or subcommittees. I will meet with other board members once a month at minimum to report any activities to the other board members, as well as attend 30% of IFRM's organizational and fundraising events.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-26 |
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