Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2021-06-18 |
| TN | RA | APPROVED | 2017-05-15 |
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 |
|---|---|---|---|---|
| First Tennessee Brokerage, Inc. | Memphis | TN | 05/2009 | 05/2017 |
| Ftb Advisors, Inc. | Memphis | TN | 10/2013 | 05/2017 |
| Principal Life Insurance Company | Memphis | TN | 05/2017 | Present |
| Principal Securities Inc | Memphis | TN | 05/2017 | Present |
***Fixed Insurance, Life, Annuities, DI, LTD, STD, AD&D, Cancer, 05/10/17.***Southern Chef LLC, Owner, 05/15/17.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-18 |
Reach out to this advisor