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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 | 2024-06-18 |
| NC | RA | APPROVED | 2024-06-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rhi | San Ramon | CA | 10/2020 | 01/2021 |
| Wells Fargo Clearing Services Llc | Charlotte | NC | 10/2020 | 06/2021 |
| Sun And Ski Sports | Concord | NC | 10/2017 | 10/2020 |
| United Event Services | Charlotte | NC | 08/2016 | 10/2017 |
| Principal Life Insurance Company | Charlotte | NC | 06/2021 | Present |
| Principal Securities Inc | Charlotte | NC | 07/2021 | Present |
| Principal Advised Services | Locust | NC | 06/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2021-01-05 |
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