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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 | 2026-06-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brittany Lang | Mckinney | TX | 08/2005 | 10/2019 |
| Unemployed | Mckinney | TX | 10/2019 | 01/2020 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2020 | 02/2026 |
| Northwestern Mutual Investment Services Llc | Frisco | TX | 07/2020 | 02/2026 |
| Principal Life Insurance Company | Tortuga | TX | 03/2026 | Present |
| Principal Securities, Inc. | Tortuga | TX | 03/2026 | Present |
FIXED INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 3 START DATE: 04/01/2026 ADDRESS: 5080 Spectrum Drive Suite 1200E, Addison TX 75071, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuity, DI, LTC, Health and Group Insurance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-29 |
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