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 |
|---|---|---|---|
| TX | RA | APPROVED | 2013-03-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Dallas | TX | 05/2012 | Present |
| Apex Retirement | Dallas | TX | 04/2014 | Present |
| Union Financial | Dallas | TX | 10/2019 | Present |
| Principal Securities Inc | Dallas | TX | 03/2016 | Present |
*FIXED INSURANCE, ANNUITIES, LTC, LIFE, DENTAL, HEALTH, DI, 08/21/15. *UNIVERSITY OF GEORGIA ALUMNI - DFW CHAPTER; 08/12/16. PRESTON GREEN HOA POSITION: BOARD MEMBER AT LARGE NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 6366 SOUTHPOINT DR, DALLAS TX 75248, United States DESCRIPTION: BOARD MEMBER AT LARGE OF HOA,Attend board meetings & executive sessions, respond to homeowner issues.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 2012-06-02 |
Reach out to this advisor