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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-02-18 |
| TX | RA | APPROVED | 2024-06-11 |
Branch Locations
525 Route 73 N Ste 301, Marlton, NJ 08053 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Florham Park | NJ | 12/2015 | 07/2017 |
| The Vanguard Group, Inc. | Malvern | PA | 11/2019 | 07/2021 |
| Fran'S Pro Photo, Llc | Morristown | NJ | 07/2017 | 06/2019 |
| Adorama | New York | NY | 08/2017 | 10/2018 |
| Make It Nice Group | New York | NY | 10/2017 | 11/2017 |
| Bold New York | New York | NY | 11/2018 | 01/2019 |
| Coldwell Banker | Short Hills | NJ | 01/2019 | 03/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Florham Park | NJ | 07/2019 | 10/2019 |
| Dimensional Fund Advisors | Austin | TX | 08/2021 | 02/2024 |
| Principal Life Insurance Company | Austin | TX | 06/2024 | Present |
| Principal Securities, Inc. | Austin | TX | 06/2024 | Present |
| Unemployed | Austin | TX | 02/2024 | 06/2024 |
INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 05/10/2024 ADDRESS: 8310-1 N. Capital of Texas Hwy., Suite 175, Austin TX 78731, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2020-02-07 |
| S66 | Uniform Combined State Law Examination | 2015-11-21 |
Reach out to this advisor