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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Syracuse | NY | 05/2018 | 01/2021 |
| Principal Securities Inc | Syracuse | NY | 05/2018 | Present |
| Ephesus | Syracuse | NY | 07/2017 | 05/2018 |
| Time Warner | E Syracuse | NY | 01/2013 | 06/2017 |
***Fixed Insurance; Investment Related; 3963 Griffin Rd, Syracuse, NY 13215; Agent; life, DI; Start Date: 09/05/2018; 2 hrs per month; 2 during trading hours. ***Fixed Insurance; Investment Related; Syracuse, NY; Agent; Annuities, Health, LTC, Medical Supplements, Medicare Ins.; Start Date: 12/21/2020; 20 hrs per month; 20 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-07-27 |
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