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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 | 2024-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Samsara Surfaces | Urbandale | IA | 04/2022 | 10/2022 |
| Riterug Flooring | Clive | IA | 08/2021 | 04/2022 |
| Whole Foods Market | West Des Moines | IA | 12/2019 | 08/2021 |
| Student | Cedar Falls | IA | 08/2014 | 05/2019 |
| Des Moines Public Schools | Des Moines | IA | 02/2020 | 03/2021 |
| Substitute Teacher | Urbandale | IA | 10/2022 | 11/2022 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 11/2022 | 08/2023 |
| Northwestern Mutual Investment Services Llc | W Des Moines | IA | 11/2022 | 08/2023 |
| Unemployed | Waverly | IA | 06/2019 | 11/2019 |
| Single Speed Brewing Company | Des Moines | IA | 08/2023 | 03/2024 |
| Exile Brewing Company | Des Moines | IA | 11/2023 | 03/2024 |
| Principal Securities | Des Moines | IA | 03/2024 | Present |
| Principal Life Insurance | Des Moines | IA | 06/2024 | Present |
| Prinicipal Advised Services | Des Moines | IA | 07/2024 | Present |
**EXILE BREWING COMPANY POSITION: Bartender NATURE: Bartender INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 1514 Walnut St, Des Moines IA 50309, United States DESCRIPTION: Bartender. Duties: serving customers, cleaning, tending bar, and normal bartender duties. **PRINCIPAL BANK POSITION: AVP-- Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 655 9th St, Des Moines IA 50309, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-06-27 |
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