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 |
|---|---|---|---|
| IA | RA | APPROVED | 2018-02-19 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Bondurant, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Financial Advisors | Des Moines | IA | 09/2014 | 10/2017 |
| Principal Life Insurance | Des Moines | IA | 10/2017 | Present |
| Principal Securities | Des Moines | IA | 11/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-20 |
Reach out to this advisor