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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 | 2025-09-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rivian, Llc | Normal | IL | 07/2022 | 07/2025 |
| Walmart | Normal | IL | 07/2021 | 06/2022 |
| Normal Community West High School | Normal | IL | 08/2018 | 05/2022 |
| Parkside Junior High School | Normal | IL | 08/2015 | 05/2018 |
| Principal Life Insurance Company | Bloomington | IL | 07/2025 | Present |
| Principal Securities, Inc. | Bloomington | IL | 07/2025 | Present |
BUSINESS NETWORK INTERNATIONAL POSITION: Vice President of Bloomington One Chapter NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 4 START DATE: 02/05/2026 ADDRESS: 4 Willedrob Rd Unit 5, Bloomington IL 61701, United States DESCRIPTION: The group BNI is based upon referrals. The group consists of multiple people in various sales roles or ownership and leadership roles. In the vice president role of the Bloomington IL chapter, I will make sure that the weekly statistics are updated on the weekly report, that includes recent abscesses, presences, referrals given and taken. I will print those reports out and pass them to the other members of the group on a weekly basis.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-09-10 |
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