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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-21 |
| TX | RA | APPROVED_RES | 2025-05-21 |
Branch Locations
110 Blue Ravine Rd Ste 158, Folsom, CA 95630 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Westcorp Financial & Insurance Services | Folsom | CA | 08/2008 | Present |
| Principal Securities Inc | Folsom | CA | 03/2016 | Present |
**WESTCORP FINANCIAL SERVICES, INC. OPERATIONS MANAGER, ACCOUNT SALES OF GROUP INSURANCE AND GROUP BENEFITS, 4/7/2010. **PROPERTY & CASUALTY INSURANCE, COMMERCIAL P&C INSURANCE SALES TO BUSINESSES, 9/13/11. **OUTSIDE INSURANCE, GROUP BENEFITS, 10/28/14. **OUTSIDE INSURANCE; SALES AND SERVICE OF FIXED LIFE INSURANCE, FIXED ANNUITIES AND DISABILITY INSURANCE THROUGH VARIOUS CARRIERS' 03/15/2015. **Fixed insurance; Investment Related; Folsom, CA; Broker; Legalshield insurance; Start Date: 07/05/2021; 1 hrs per month; 1 during trading hours. **REAL ESTATE RENTAL POSITION: Rental property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2023 ADDRESS: 4577 Beechwood drive, El Dorado Hills CA 95762, United States DESCRIPTION: renting home to my brother, he is paying rent. **GAF SKYBORNE AVIATION VENTURES LLC POSITION: Partner member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2026 ADDRESS: 4577 Beechwood dr, El Dorado Hills CA 95762-6943, United States DESCRIPTION: this LLC was created as a holding company for an aircraft where it will be used both personally but as a business, when we will be leasing out the aircraft to other companies. **AIRCRAFT EQUIPMENT LEASE POSITION: Aircraft Equipment Lease NATURE: Aircraft Equipment Lease back INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 06/16/2026 ADDRESS: 4577 beechwood dr, el dorado hills CA 95762, United States DESCRIPTION: WestCorp Financial Services is leasing the aircraft from GAF Skyborne Aviation Ventures LLC, approx 5-6 hours of flight time per month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-27 |
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