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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2025-01-17 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Retirement Solutions | Oconomowoc | WI | 09/2014 | 04/2018 |
| Transamerica Investors Securities Corporation | Oconomowoc | WI | 10/2014 | 04/2018 |
| Thrivent Financial | Appleton | WI | 09/2022 | 12/2024 |
| Principal Securities Inc | Wauwatosa | WI | 04/2018 | 09/2022 |
| Thrivent Investment Management Inc | Milwaukee | WI | 09/2022 | 12/2024 |
| Principal Life Insurance Co | Milwaukee | WI | 01/2025 | Present |
| Principal Securities Inc | Milwaukee | WI | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-12 |
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