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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2023-09-15 |
| IA | RA | APPROVED | 2022-07-21 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Lakewood | CO | 04/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lakewood | CO | 11/2016 | 03/2017 |
| Lpl Financial, Llc | Erie | CO | 03/2017 | 05/2018 |
| U.S. Bancorp Investments, Inc. | Golden | CO | 05/2018 | 06/2022 |
| Principal Life Insurance Company | Arvada | CO | 06/2022 | Present |
| Principal Securities, Inc. | Arvada | CO | 07/2022 | Present |
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 7476 W 74th Place, Arvada CO 80003, 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 offerings of Principal.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-06 |
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