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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 | 2024-03-21 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Pleasant Hill, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Des Moines | IA | 08/2010 | Present |
| Principal Securities Inc | Des Moines | IA | 10/2011 | 07/2021 |
| Principal Advised Services | Des Moines | IA | 07/2021 | 03/2024 |
| Principal Securities Inc | Des Moines | IA | 04/2023 | Present |
***Six Degrees of Separation, PO Box 8158, Des Moines, IA 50301, Board Member, 01/2011, Investment Related: N, Hours Per Month: 1.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-08-30 |
| S65 | Uniform Investment Adviser Law Examination | 2022-07-30 |
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