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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-08-30 |
| IA | RA | APPROVED | 2013-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Bettendorf | IA | 09/2013 | Present |
| Principal Securities Inc | Bettendorf | IA | 09/2013 | Present |
OUTSIDE INSURANCE, SELLING AND SERVICING OF OUTSIDE INSURANCE SUCH AS FIXED LIFE INSURANCE, LONG TERM CARE INSURANCE, DISABILITY INSURANCE AND FIXED ANNUITIES,10/1/13. Regal Rentals, LLC - City: Coal Valley State: Illinois Zip: 61240 I own a property in Cape Coral, FL that I use as a short-term rental to the public. I have a property management company that manages and maintains the property on my behalf. I receive compensation from this property when it is booked for rentals. 09/11/2023
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-06 |
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