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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2023-03-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Bettendorf | IA | 12/2022 | Present |
| Principal Securities Inc | Bettendorf | IA | 12/2022 | Present |
| Unemployed | Princeton | IA | 05/2022 | 12/2022 |
| Green Chevrolet | East Moline | IL | 07/2018 | 05/2022 |
| Camping World | Davenport | IA | 02/2018 | 07/2018 |
| Green Chevrolet | East Moline | IL | 11/2015 | 02/2018 |
INSURANCE POSITION: Financial Representative NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 03/16/2023 ADDRESS: 5103 Utica Ridge Road, Davenport IA 52807, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-02-21 |
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