Joseph Francis Martin

Principal Securities, Inc.

CRD 2877145

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Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-08-18
NY	RA	APPROVED	2021-06-30

TX RA
APPROVED

Since 2023-08-18
NY RA
APPROVED

Since 2021-06-30

Branch Locations

711 High St, Des Moines, IA 50392 • United States

Amherst, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Des Moines	IA	11/1996	Present
Principal Securities Inc	Des Moines	IA	04/1997	Present

11/1996 → Present

Principal Life Insurance Company

Des Moines, IA
04/1997 → Present

Principal Securities Inc

Des Moines, IA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-07-03

S63 Uniform Securities Agent State Law Examination

1997-07-03

Designations

Certified Financial Planner

View on SEC IAPD

Nearby Firms

OSAIC INSTITUTIONS, INC.

EQUITABLE ADVISORS, LLC

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Nearby Investors

Kathryn Leeper Hooper

ROGER ROBERT RUDEN

Christian Harrison Rogers

Nearby Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA

EQUITABLE ADVISORS, LLC · DES MOINES, IA

LPL FINANCIAL LLC · DES MOINES, IA

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