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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-04-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/2018 | 10/2019 |
| Unemployed | Hialeah | FL | 05/2018 | 09/2018 |
| Banesco Usa | Doral | FL | 07/2013 | 05/2018 |
| Lpl Financial Llc | Miami | FL | 10/2019 | 11/2020 |
| Portfolio Medics | Bonita Springs | FL | 08/2021 | 03/2025 |
| Unemployed | Miami | FL | 11/2020 | 08/2021 |
| Modern Life Financial Group | Miami | FL | 03/2025 | 01/2026 |
| Principal Life Insurance Company | Miami | FL | 01/2026 | Present |
| Principal Securities, Inc. | Miami | FL | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-07-28 |
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