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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2026-04-06 |
Branch Locations
11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 09/2024 | 02/2026 |
| Unemployed | Carver | MN | 03/2024 | 09/2024 |
| Whitecap Health Advisors | Carver | MN | 07/2023 | 02/2024 |
| Unemployed | Carver | MN | 05/2023 | 06/2023 |
| University Of Minnesota | Minneapolis | MN | 01/2023 | 05/2023 |
| University Of Minnesota | Minneapolis | MN | 09/2022 | 12/2022 |
| Ecolab | St Paul | MN | 06/2022 | 08/2022 |
| University Of Minnesota | Minneapolis | MN | 01/2022 | 05/2022 |
| University Of Minnesota | Minneapolis | MN | 09/2021 | 12/2021 |
| Spry Insights (Self Employed, Freelance Consultant) | Plymouth | MN | 03/2021 | 08/2021 |
| Unemployed | Carver | MN | 01/2021 | 02/2021 |
| Spry Insights | Plymouth | MN | 08/2020 | 12/2020 |
| Unemployed | Carver | MN | 03/2019 | 07/2020 |
| Cargill | Plymouth | MN | 05/2016 | 02/2020 |
| Unemployed | Chaska | MN | 02/2026 | 03/2026 |
| Principal Life Insurance Company | Minnetonka | MN | 03/2026 | Present |
| Principal Securities, Inc. | Minnetonka | MN | 03/2026 | Present |
FIXED INSURANCE POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 04/16/2026 ADDRESS: 11100 Wayzata Blvd, Suite 405, Minnetonka MN 55305, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-12-04 |
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