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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 | 2026-06-12 |
Branch Locations
222 S 9Th St Ste 1400, Minneapolis, MN 55402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1834 Investment Advisors Co. | Minneapolis | MN | 10/2025 | 03/2026 |
| Bremer Bank | Minneapolis | MN | 04/2021 | 10/2025 |
| Wells Fargo | Minneapolis | MN | 06/1995 | 04/2021 |
| Principal Life Insurance Company | Minneapolis | MN | 04/2026 | Present |
| Principal Securities, Inc. | Minneapolis | MN | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2026-06-11 |
| S65 | Uniform Investment Adviser Law Examination | 2025-07-15 |
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