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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-24 |
| TX | RA | APPROVED_RES | 2021-03-08 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Ins Co | Winter Garden | FL | 10/2010 | Present |
| Principal Securities Inc | Winter Garden | FL | 10/2010 | Present |
***Fixed Insurance; Investment Related; Salem, NH; Agent; Fixed Life, annuities, DI; Start Date: 06/18/2019; 20 hrs per month; 10 during trading hours. INSURANCE POSITION: Outside Insurance Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/10/2022 ADDRESS: 16194 Johns Lake Overlook, Winter Garden FL 34787, United States DESCRIPTION: Fixed Life, annuities, DI
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-30 |
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