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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_RES | 2026-03-31 |
| OR | RA | APPROVED | 2025-07-15 |
| WA | RA | APPROVED | 2025-06-24 |
Branch Locations
5885 Meadows Rd Ste 800, Lake Oswego, OR 97035 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Vancouver | WA | 07/2011 | 10/2024 |
| Charles Schwab Bank, Ssb | Vancouver | WA | 07/2011 | 10/2024 |
| Pincipal Life Insurance Company | Ridgefield | WA | 05/2025 | Present |
| Principals Securities, Inc. | Ridgefield | WA | 05/2025 | Present |
| Searched For Employment | Ridgefield | WA | 10/2024 | 05/2025 |
INSURANCE POSITION: Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 2 START DATE: 06/16/2025 ADDRESS: 4321 N Ridgefield Woods Dr., Ridgefield WA 98642, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, P&C, health, and group benefits.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-21 |
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