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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2019-11-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance | Des Moines | IA | 05/2008 | 10/2019 |
| Principal Securities | Des Moines | IA | 06/2017 | 10/2018 |
| Principal Securities Inc | Des Moines | IA | 11/2019 | Present |
| Principal Life Insurance Company | Des Moines | IA | 10/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-28 |
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