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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-05-31 |
Branch Locations
2100 Georgetown Dr Ste 100, Sewickley, PA 15143 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pittsburgh | PA | 06/2016 | 08/2019 |
| Bank Of America, N.A. | Pittsburgh | PA | 07/2016 | 08/2019 |
| Pruco Securities, Llc. | Canonsburg | PA | 08/2019 | 04/2024 |
| Prudential Insurance Company Of America | Canonsburg | PA | 08/2019 | 04/2024 |
| Principal Life Insurance Company | Sewickley | PA | 05/2024 | Present |
| Principal Securities, Inc. | Sewickley | PA | 05/2024 | Present |
OUTSIDE INSURANCE POSITION: Outside Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 07/29/2024 ADDRESS: 2100 Georgetown Drive, Suite 100, Sewickley PA 15143, United States DESCRIPTION: Writing outside fixed and variable insurance with various companies including Life, DI, Annuities, LTC, Health, Medical and Dental. This would encompass group and individual products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-03-10 |
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