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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 | 2026-04-15 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwfs Equities Inc. | Greenwood Village | CO | 12/2016 | 04/2024 |
| The Doyle Group | Denver | CO | 05/2016 | 12/2016 |
| Pensionmark Securities, Llc | Santa Barbara | CA | 04/2024 | 04/2026 |
| Pensionmark Financial Group, Llc | Santa Barbara | CA | 04/2024 | 04/2026 |
| Assuredpartners Investment Advisors | Tampa | FL | 10/2024 | 04/2026 |
| World Investments, Inc. | Denver | CO | 10/2025 | 04/2026 |
| Principal Securities, Inc. | Denver | CO | 04/2026 | Present |
| Principal Life Insurance Company | Denver | CO | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2026-04-20 |
| S65 | Uniform Investment Adviser Law Examination | 2024-06-12 |
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