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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 | 2022-09-22 |
| OR | RA | APPROVED | 2021-01-19 |
Branch Locations
5885 Meadows Rd Ste 800, Lake Oswego, OR 97035 • United States
Portland, OR • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mediation Results Llc | Salem | OR | 02/2009 | 12/2019 |
| Molina Insurance Group | Hillsboro | OR | 11/2019 | 03/2020 |
| Multnomah County Family Court Services | Portland | OR | 11/2012 | 11/2019 |
| Waddell & Reed | Portland | OR | 04/2020 | 09/2020 |
| Gregory Baker | Portalnd | OR | 04/2020 | 01/2021 |
| Various Insurance Carrier For W&R Insurance Agencies | Portland | OR | 04/2020 | 01/2021 |
| Residential Property Management (Description Of Activity) | Portland | OR | 01/2015 | 01/2021 |
| Miracle Theater Group | Portland | OR | 03/2020 | 01/2021 |
| Oregon Mediation Association | Portland | OR | 11/2007 | 01/2021 |
| Principal Life Insurance Company | Lake Oswego | OR | 01/2021 | Present |
| Principal Securities, Inc. | Lake Oswego | OR | 01/2021 | Present |
**Fixed Insurance; Investment Related; ; ; Life, Annuity, DI, LTC Group Benefits/Supplemental Benefits; Start Date: 01/16/2021; 60 hrs per month; 60 during trading hours. **Rental Property; Not Investment Related; Portland, OR; Owner; collecting rent, managing repairs and maintenance of property; Start Date: 11/15/2016; 2 hrs per month; 0 during trading hours. **MULTNOMAH COUNTY POSITION: Parent Education Instructor NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2022 ADDRESS: 1200 SW 1st Ave. Suite 3400, Portland OR 97204, United States DESCRIPTION: I would be teaching a class to parents on the topic of how to support their children emotionally as the parents go through a divorce or separation. **CLACKAMAS COUNTY POSITION: Parent Education Instructor NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 2051 Kaen Rd # 210, Oregon City OR 97045, United States DESCRIPTION: I would be teaching a class to parents on the topic of how to support their children emotionally as the parents go through a divorce or separation. **DIRECT BENEFITS LLC POSITION: Insurance Agent NATURE: Group/Health Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2024 ADDRESS: 5885 Meadow Rd., Suite 800, Lake Oswego OR 97035, United States DESCRIPTION: I would be an agent for Direct Benefits, an OBA approved through RR Dan Dixon, based in SLC, UT. I would be selling group medical and dental insurance. **BRIDGES COLLABORATIVE DIVORCE SOLUTIONS POSITION: Certified Divorce Financial Analyst NATURE: Certified Divorce Financial Analyst INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 3 START DATE: 06/01/2022 ADDRESS: 5885 Meadows Rd, Suite 800, Lake Oswego OR 97035, United States DESCRIPTION: Bridges Collaborative Divorce Solutions is a group of attorneys, mediators, counselors and CDFA's that collaborate with individuals on divorce-related matters. My role is as a CDFA resource.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-06 |
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