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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 | 2021-06-14 |
| MN | RA | APPROVED | 2016-07-12 |
Branch Locations
11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance | Minnetonka | MN | 10/2014 | 08/2018 |
| Principal Securities Inc | Minnetonka | MN | 03/2016 | Present |
| Principal Life Insurance | Minnetonka | MN | 08/2018 | Present |
Fixed Insurance; Investment Related; Minnetonka, MN; Agent; Life, Annuities, DI, LTC; Start Date: 04/23/2019; 1 hrs per month; 1 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-11 |
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