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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-10-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Suntrust Investment Services, Inc | Atlanta | GA | 12/2011 | 06/2020 |
| Suntrust Advisory Services | Atlanta | GA | 09/2016 | 06/2020 |
| Bb&T Securities, Llc | Richmond | VA | 12/2019 | 06/2020 |
| Morgan Stanley | Alpharetta | GA | 04/2023 | 09/2025 |
| Suntrust | Truist | Atlanta | GA | 11/2011 | 10/2021 |
| Noho Financial Dba Forme Financial | New York | NY | 11/2021 | 10/2022 |
| Self-Employed | Alpharetta | GA | 10/2022 | 03/2023 |
| Principal Life Insurance Company | Des Moines | IA | 10/2025 | Present |
| Principal Securities, Inc. | Des Moines | IA | 10/2025 | Present |
KINGDOM GLOBAL MINISTRIES POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: PO Box 700, Colleyville TX 76034, United States DESCRIPTION: This is a non-profit ministry that focuses on equipping pastors across the globe. I am a long time (over 10 years) board member for the organization. We have 1 in person meeting per year in Texas and periodic phone/zoom meetings per quarter. There is no overlap into financial services with my involvement, and no conflict of interest.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-07-17 |
| S66 | Uniform Combined State Law Examination | 2001-02-02 |
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