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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-26 |
| NY | RA | APPROVED | 2025-06-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Suffolk County Parks- Smith Point Ocean Rescue | Mastic Beach/ West Hampton Beach | NY | 05/2018 | 08/2018 |
| Suffolk County Parks- Smith Point Ocean Rescue | Mastic Beach/ West Hampton Beach | NY | 05/2019 | 08/2019 |
| Suffolk County Parks- Smith Point Ocean Rescue | Mastic Beach/ West Hampton Beach | NY | 05/2020 | 08/2020 |
| Suffolk County Parks- Smith Point Ocean Rescue | Mastic Beach/ West Hampton Beach | NY | 05/2021 | 08/2021 |
| Sachem Youth Advisory Group | Holbrook | NY | 07/2017 | 08/2017 |
| Ward Melville High School | East Setauket | NY | 09/2014 | 06/2018 |
| The Ohio State University | Columbus | OH | 08/2018 | 04/2022 |
| Mutual Of America Financial Group | Garden City | NY | 07/2022 | 01/2025 |
| Principal Life Insurance Company | Melville | NY | 04/2025 | Present |
| Principal Securities, Inc. | Melville | NY | 04/2025 | Present |
INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2025 ADDRESS: 48 S Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2023-02-16 |
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