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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 |
|---|---|---|---|
| SD | RA | APPROVED | 2019-11-27 |
Branch Locations
Sioux Falls, SD • United States
711 High St, Des Moines, IA 50392 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Sioux Falls | SD | 12/2012 | Present |
| Principal Securities, Inc. | Sioux Falls | SD | 04/2013 | Present |
| Principal Funds Distributor, Inc. | Sioux Falls | SD | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-13 |
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