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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2022-09-20 |
| TX | RA | APPROVED | 2021-03-06 |
Branch Locations
10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2015 | 09/2017 |
| Northwestern Mutual Investment Services Llc | Milwaukee | WI | 08/2015 | 09/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2016 | 09/2017 |
| Principal Life Insurance Co | Wauwatosa | WI | 09/2017 | Present |
| Principal Securities Inc | Wauwatosa | WI | 09/2017 | Present |
| Great Lakes Retirement Plan Consultants | Wauwatosa | WI | 07/2024 | Present |
**Outside Insurance; Investment Related; Denver, CO; Agent; Fixed life, Annuities, DI, LTC, Group Benefits; Start Date: 10/02/2017; 15 hrs per month; 15 during trading hours. **INSURANCE POSITION: GIS Benefits Brokerage NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2023 ADDRESS: 10361 W Innovation Dr, Suite 300, Wauwatosa WI 53226, United States DESCRIPTION: Cafeteria Plan insurance brokerage business (Group STD, LTD, Life, GSI, Dental & Vision).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-28 |
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