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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-02-17 |
Branch Locations
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 |
|---|---|---|---|---|
| Principal Life Insurance Co | Marlton | NJ | 12/2025 | Present |
| Principal Securities Inc | Marlton | NJ | 01/2026 | Present |
| Crescent Capital Group | New York | NY | 01/2011 | 04/2019 |
| Vibrant Capital (Formerly Known As Dfg Investment Advisers) | New York | NY | 05/2019 | 03/2020 |
| Barclay Cleaners | Cherry Hill | NJ | 04/2020 | 05/2022 |
| Canaras Capital | New York | NY | 06/2022 | 01/2025 |
| Job Searching, Unemployed | New York | NY | 01/2025 | 05/2025 |
| Gianni'S Group | Noord | 05/2025 | 01/2026 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2006-09-26 |
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