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Dustin Patrick Pugh

Principal Securities, Inc.

Indianapolis, IN

Des Moines, IA

CRD 6002634

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Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-07-08
IN RA APPROVED 2018-08-23
  • TX RA
    APPROVED_RES
    Since 2024-07-08
  • IN RA
    APPROVED
    Since 2018-08-23

Branch Locations

Indianapolis, IN • United States

711 High St, Des Moines, IA 50392 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Company Indianapolis IN 08/2015 Present
Principal Securities Inc Indianapolis IN 03/2016 Present
  • 08/2015 → Present
    Principal Life Insurance Company
    Indianapolis, IN
  • 03/2016 → Present
    Principal Securities Inc
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-22
S63 Uniform Securities Agent State Law Examination 2013-03-04
  • S65 Uniform Investment Adviser Law Examination
    2018-08-22
  • S63 Uniform Securities Agent State Law Examination
    2013-03-04
Other Names
  • Dustin Pugh

View on SEC IAPD

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