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Scott Robert Fraungruber

Principal Securities, Inc.

Pierson, MI

Des Moines, IA

CRD 2235674

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Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-13
MI RA APPROVED 2010-06-01
  • TX RA
    APPROVED_RES
    Since 2023-03-13
  • MI RA
    APPROVED
    Since 2010-06-01

Branch Locations

Pierson, MI • United States

711 High St, Des Moines, IA 50392 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Company Pierson MI 03/1992 Present
Principal Securities Inc Pierson MI 03/2016 Present
  • 03/1992 → Present
    Principal Life Insurance Company
    Pierson, MI
  • 03/2016 → Present
    Principal Securities Inc
    Pierson, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-26
S63 Uniform Securities Agent State Law Examination 1992-07-20
  • S66 Uniform Combined State Law Examination
    2010-04-26
  • S63 Uniform Securities Agent State Law Examination
    1992-07-20

View on SEC IAPD

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