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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 | 2022-01-04 |
| MN | RA | APPROVED | 2021-11-17 |
Branch Locations
11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • United States
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 Company | Minnetonka | MN | 09/2021 | Present |
| Principal Securities Inc | Minnetonka | MN | 09/2021 | Present |
| Chazin Interiors | Mover | MN | 06/2010 | 09/2021 |
| Full Time Education | Columbia | MO | 08/2015 | 08/2020 |
| Piprude Financial | Minnetonka | MN | 03/2022 | Present |
INSURANCE POSITION: Fixed insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2021 ADDRESS: 11100 WAYZATA BLVD, SUITE 405, MINNETONKA MN 55305, United States DESCRIPTION: fixed life insurance, fixed annuity, disability insurance, long term care insurance, health insurance, dental, vision, accidental death and dismemberment.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-29 |
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