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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 | 2022-11-21 |
| CA | RA | APPROVED | 2005-12-20 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Aliso Viejo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Costa Mesa | CA | 08/2004 | Present |
| Principal Securities Inc | Costa Mesa | CA | 03/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-08-01 |
| S65 | Uniform Investment Adviser Law Examination | 1996-07-23 |
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