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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2025-01-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Arlington | TX | 05/2016 | 12/2018 |
| Sketchley Properties Llc | Hutchinson | KS | 02/2013 | 01/2019 |
| American United Life | Dallas | TX | 01/2019 | 04/2020 |
| Oneamerica Securities | Dallas | TX | 01/2019 | 04/2020 |
| Nylife Securities Llc | Dallas | TX | 04/2020 | 03/2021 |
| New York Life Insurance Company | Dallas | TX | 04/2020 | 03/2021 |
| The Prudential Insurance Company Of America | Plano | TX | 03/2021 | 05/2022 |
| Pruco Securities | Plano | TX | 03/2021 | 05/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Keller | TX | 05/2022 | 08/2024 |
| Bank Of America, N.A. | Keller | TX | 07/2022 | 08/2024 |
| Veteran Sabbatical | Arlington | TX | 09/2024 | 12/2024 |
| Principal Life Insurance Company | Granbury | TX | 01/2025 | Present |
| Principal Securities, Inc. | Granbury | TX | 01/2025 | Present |
**INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 12/16/2024 ADDRESS: 6500 West Fwy, Fort Worth TX 76116, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **UBER POSITION: Driver NATURE: I am going to drive Uber to cover bills while I'm building INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2025 ADDRESS: 2604 Hilltop Rd, Granbury TX 76048, United States DESCRIPTION: Uber driver.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-10 |
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