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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 | 2023-09-11 |
| OH | RA | APPROVED | 2019-02-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual Of Omaha | Dallas | TX | 10/2015 | 01/2019 |
| Principal Life Insurance Company | Cincinnati | OH | 01/2019 | Present |
| Principal Securities Inc | Cincinnati | OH | 02/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-05 |
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