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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-15 |
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 |
|---|---|---|---|---|
| Principal Financial | Pittsburgh | PA | 06/2004 | 03/2019 |
| Princor | Pittsburgh | PA | 06/2004 | 03/2019 |
| The Huntington National Bank | Pittsburgh | PA | 03/2019 | 01/2022 |
| The Huntington Investment Company | Columbus | OH | 04/2019 | 01/2022 |
| Huntington National Bank | Pittsburgh | PA | 01/2022 | 06/2023 |
| Huntington Investment Company | Columbus | OH | 01/2022 | 06/2023 |
| Onedigital Investment Advisors Llc | Overland Park | KS | 07/2023 | 05/2024 |
| Principal Life Insurance Company | Des Monies | IA | 07/2024 | Present |
| Principal Securities, Inc | Carneige | PA | 07/2024 | Present |
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: bank/trust NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/22/2024 ADDRESS: 81 Cypress Drive, Carnegie PA 15106, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offering of Principal.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-03 |
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