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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 |
|---|---|---|---|
| OR | RA | APPROVED | 2025-03-01 |
| ID | RA | APPROVED | 2025-02-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thrivent Investment Management Inc | Colorado Springs | CO | 02/2015 | 01/2017 |
| Thrivent Financial | Appleton | WI | 02/2016 | 01/2017 |
| Wells Fargo Clearing Services, Llc | Colorado Springs | CO | 07/2017 | 01/2025 |
| Vail Resorts | Parkcity | UT | 02/2017 | 04/2017 |
| Unemployed | Colorado Springs | CO | 05/2017 | 07/2017 |
| Principal Life Insurance Company | Wallace | ID | 01/2025 | Present |
| Principal Securities, Inc. | Wallace | ID | 01/2025 | Present |
INSURANCE POSITION: Brandon Kramer NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2025 ADDRESS: 5885 Meadows Rd. Ste. 800, Lake Oswego OR 97035, United States DESCRIPTION: Fixed life, fixed annuities, DI, LTC, health, and group benefits.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 2015-10-15 |
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