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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-05-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Watterson Dining Commons | Normal | IL | 08/2025 | 03/2026 |
| Tyler Welter | Downers Grove | IL | 05/2025 | 08/2025 |
| St. Charles Country Club | St. Charles | IL | 05/2024 | 05/2025 |
| Goldfish Swim School | St. Charles | IL | 05/2023 | 05/2024 |
| Old Towne Pub | Campton Hills | IL | 11/2021 | 05/2023 |
| Chipotle | Geneva | IL | 07/2021 | 11/2021 |
| Yanni Management Mcdonald's Franchise | Campton Hills | IL | 06/2020 | 07/2021 |
| Principal Life Insurance Company | Saint Charles | IL | 03/2026 | Present |
| Principal Securities, Inc. | Saint Charles | IL | 03/2026 | Present |
| Full Time Student (Middle And Highschool) | St. Charles | IL | 03/2016 | 05/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-05-21 |
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