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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 | 2021-06-17 |
| FL | RA | APPROVED | 1998-08-21 |
Branch Locations
4014 Gunn Hwy Ste 180, Tampa, FL 33618 • United States
Tampa, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Tampa | FL | 04/1984 | Present |
| L Bryant Financial Services | Tampa | FL | 11/2015 | Present |
***VARIOUS CARRIERS,1985,SELLS AND SERVICES GRP HEALTH POLICIES.***FIXED INSURANCE, LIFE, ANNUITIES, DI, LTC, 7/9/15.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-01 |
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