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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 | 2021-06-17 |
| MN | RA | APPROVED | 2014-01-17 |
Branch Locations
11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Minnetonka | MN | 05/2009 | Present |
| Principal Life Insurance Company | Minnetonka | MN | 12/2010 | Present |
| J. J. Swanson Advisory Group Inc | Minnetonka | MN | 12/2019 | Present |
| Bridge Street Wealth Strategies | Minnetonka | MN | 08/2025 | Present |
**OUTSIDE INSURANCE, LIFE, DI, 10/16/14. **Fixed insurance, Annuities, DI, LTC, Life, Critical Illness, Group Benefits, 8/29/17. **Carwardine, Tighe, and Swanson, LLC; Not Investment Related; Minnetonka, MN; Co-owner; LLC formed to provide operational support, business partnering, and practice succession planning; Start Date: 01/01/2021; 0 hrs per month; 0 during trading hours. **Tighe Wealth Management, LLC; Not Investment Related; Minneapolis, MN; Owner; LLC established to pass 1099 revenue through. Not used as a DBA with the public.; Start Date: 05/12/2021; 0 hrs per month; 0 during trading hours. **JJ SWANSON ADVISORY GROUP INC POSITION: Partner NATURE: Business Partnership - DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 04/11/2023 ADDRESS: 11100 Wayzata Blvd, Ste 405, Minnetonka MN 55305, United States DESCRIPTION: Build and maintain education program for use with employers, relationship management for retirement plan customers. **BRIDGE STREET WEALTH STRATEGIES (DBA) POSITION: Principal Securities Registered Representative NATURE: Financial Strategies/Needs Analysis INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2025 ADDRESS: 11100 Wayzata Blvd, Ste 405, Minnetonka MN 55305, United States DESCRIPTION: This is for marketing purposes.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-10-15 |
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