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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | Petaluma | CA | 08/2018 | 02/2020 |
| Saint Vincent High School | Petaluma | CA | 08/2016 | 06/2018 |
| Sonoma State University | Rohnert Park | CA | 06/2005 | 09/2016 |
| Jpmorgan Securities Llc | Petaluma | CA | 01/2021 | 06/2021 |
| Jp Morgan Chase Bank | Petaluma | CA | 01/2021 | 06/2021 |
| Unemployed | Santa Rosa | CA | 02/2020 | 12/2020 |
| Unemployed | Santa Rosa | CA | 07/2018 | 07/2018 |
| Pruco Securities Llc | Walnut Creek | CA | 08/2022 | 11/2024 |
| Quest Forward Academy | Santa Rosa | CA | 07/2021 | 08/2021 |
| Spring Hill School | Petaluma | CA | 08/2021 | 02/2022 |
| Unemployed | Santa Rosa | CA | 03/2022 | 06/2022 |
| The Prudential Insurance Company Of America | Walnut Creek | CA | 08/2022 | 09/2025 |
| Lpl Enterprise, Llc | Walnut Creek | CA | 11/2024 | 09/2025 |
| Principal Securities Inc | Santa Rosa | CA | 12/2025 | Present |
| Principal Life Insurance Co | Santa Rosa | CA | 12/2025 | Present |
INSURANCE POSITION: Insurance NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2026 ADDRESS: 530 Brush Creek Rd, Santa Rosa CA 95404-2715, United States DESCRIPTION: Sales and service of life, annuities, DI, LTC, health, and group benefits.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-29 |
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