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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-02-21 |
| CA | RA | APPROVED | 2023-05-19 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 12/2015 | 08/2022 |
| M Holdings Securities, Inc. | Portland | OR | 09/2022 | 04/2023 |
| M Financial Asset Management | Portland | OR | 09/2022 | 04/2023 |
| Principal Life Insurance Company | Murrieta | CA | 05/2023 | Present |
| Principal Securities, Inc. | Des Moines | IA | 05/2023 | Present |
I BUY AND SELL BASEBALL CARDS POSITION: I buy and sell baseball cards NATURE: Buys and sells baseball cards INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2020 ADDRESS: 2300 East Austin Drive, Gilbert AZ 85296, United States DESCRIPTION: I buy and resell baseball cards through eBay and occasionally at in-person trade shows. There is not an entity created. Any income received is run through my personal schedule C.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2006-01-20 |
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