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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 | 2026-06-17 |
| OR | RA | APPROVED | 2026-01-02 |
Branch Locations
5885 Meadows Rd Ste 800, Lake Oswego, OR 97035 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Financial Group | Lake Oswego | OR | 09/2022 | 12/2025 |
| Oregon Community Credit Union | Salem | OR | 08/2019 | 09/2022 |
| Tj Forestry Llc | Monmouth | OR | 07/2016 | 10/2020 |
| Prinicpal Life Insurance Company | Lake Oswego | OR | 01/2026 | Present |
| Principal Securities, Inc. | Lake Oswego | OR | 01/2026 | Present |
INSURANCE POSITION: Insurance NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2026 ADDRESS: 5885 MEADOWS RD STE 800, Lake Oswego OR 97035, United States DESCRIPTION: Sales and service of fixed life and fixed annuities, indexed life and annuities, variable life and annuities, registered index-linked annuities, DI, LTC, health, and group benefits
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-05-02 |
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