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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 | 2024-12-13 |
| FL | RA | APPROVED | 2022-07-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Tampa | FL | 06/2018 | 02/2021 |
| Bloomin Brands Inc | Tampa | FL | 08/2017 | 04/2018 |
| Hca Asset Mangment | Brandenton | FL | 12/2016 | 07/2017 |
| Franklin Templeton Inv | St. Petersburg | FL | 01/2016 | 12/2016 |
| Wells Fargo Bank, Na | Tampa | FL | 01/2021 | 08/2022 |
| Wells Fargo Clearing Services, Llc | Tampa | FL | 02/2020 | 12/2020 |
| Principal Life Insurance Company | Tampa | FL | 07/2022 | Present |
| Principal Securities Inc | Tampa | FL | 07/2022 | Present |
| 360 Wealth& Benefits | Tampa | FL | 11/2022 | Present |
**OUTSIDE INSURANCE OBA POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2022 ADDRESS: 4830 W Kennedy Blvd, Ste 550, Tampa FL 33609, United States DESCRIPTION: Selling outside insurance including LTC, Annuities (fixed and variable), Group and Individual Life, DI, Health and Medical **ALBANI LLC POSITION: Albani LLC NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 3111 W De Leon Apt 4, Tampa FL 33609, United States DESCRIPTION: I created an LLC. No activity other than that has gone in with this LLC. Its intended use is to use it for rental properties.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-02 |
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