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Principal Advised Services CRD 297324
$1.42B regulatory AUM 16,537 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
655 9Th Street, Des Moines, IA 50309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-06-03 |
| CO | RA | APPROVED | 2026-06-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Denver | CO | 12/2025 | 05/2026 |
| Principal Securities, Inc. | Denver | CO | 05/2026 | Present |
| Principal Life Insurance Company | Denver | CO | 05/2026 | Present |
| Principal Advised Services | Denver | CO | 05/2026 | Present |
| Principal Bank | Denver | CO | 05/2026 | Present |
| Equitable Advisors, Llc | New York | NY | 10/2022 | 01/2024 |
| Unemployed | Denver | CO | 05/2022 | 10/2022 |
| State University Of New York | Geneseo | NY | 08/2017 | 05/2022 |
| Garden City High School | Garden City | NY | 08/2013 | 08/2017 |
| Pollen Travel Company | London | 03/2020 | 10/2020 | |
| Frito-Lay Warehouse | Wyandanch | NY | 07/2019 | 08/2019 |
| Bedrock Plumbing | Queens | NY | 07/2021 | 08/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 01/2024 | 12/2025 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-06-23 |
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