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Principal Advised Services CRD 297324
$1.42B regulatory AUM 16,537 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-03-23 |
| KY | RA | APPROVED | 2026-03-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Louisville | KY | 11/2016 | 12/2022 |
| Waddell & Reed Inc. | Louisville | KY | 06/2016 | 09/2016 |
| Norton Healthcare | Louisville | KY | 06/2014 | 03/2017 |
| Fifth Third Securities | Louisville | KY | 01/2021 | 12/2022 |
| Fidelity Investments | Louisville | KY | 12/2022 | 01/2026 |
| Fidelity Investments | Boston | MA | 03/2025 | 01/2026 |
| Principal Life Insurance Company | Louisville | KY | 01/2026 | Present |
| Prinicpal Securities, Inc. | Lousville | KY | 02/2026 | Present |
| Principal Advised Services | Louisville | KY | 02/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 2021-06-11 |
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