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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-07-12 |
| TX | RA | APPROVED | 2021-06-17 |
| IA | RA | APPROVED | 2004-05-26 |
Branch Locations
6701 Westown Pkwy Ste 200, West Des Moines, IA 50266 • United States
Tucson, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foundations Of Life | West Des Moines | IA | 06/2007 | 10/2016 |
| Principal Life Insurance Company | West Des Moines | IA | 10/2001 | Present |
| Principal Securities Inc | West Des Moines | IA | 10/2001 | Present |
*OUTSIDE INSURANCE, SELLS DISABILITY INSURANCE, LIFE INSURANCE, LTC, ANNUITIES, HEALTH INSURANCE, SALES & SERVICE OF INDIVIDUAL & GROUP HEALTH INSURANCE THROUGH VARIOUS CARRIES, 7/2/15.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-19 |
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