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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-09-12 |
Branch Locations
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 |
|---|---|---|---|---|
| Newbridge Securities Corporation | Boca Raton | FL | 08/2016 | 11/2016 |
| Securities America, Inc | La Vista | NE | 09/2022 | 06/2024 |
| Global Wealth Management | Fort Lauderdale | FL | 04/2018 | 11/2018 |
| Bb&T | Fort Lauderdale | FL | 12/2018 | 12/2019 |
| American Express | Fort Lauderdale | FL | 10/2019 | 06/2020 |
| Loancare | Remote | FL | 08/2020 | 09/2022 |
| Unemployed | N/A | FL | 12/2016 | 03/2018 |
| Flagstar Bank N.A. | Coral Springs | FL | 06/2024 | 12/2024 |
| Lpl Finacial Llc | Coral Springs | FL | 12/2024 | 01/2025 |
| Unemployed | Fort Lauderdale | FL | 06/2020 | 08/2020 |
| Principal Life Insurance Co | Miami | FL | 12/2024 | Present |
| Principal Securities Inc | Miami | FL | 01/2025 | Present |
INSURANCE POSITION: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 04/15/2025 ADDRESS: 703 Waterford Way, Suite 190, Miami FL 33126, United States DESCRIPTION: fixed annuities, index, life, health, group insurance through various carriers.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-12-01 |
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