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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 | 2018-08-21 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Dallas, TX • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance / Specturm Financial Group | Dallas | TX | 07/2015 | 07/2018 |
| Mml Investors Services | Dallas | TX | 07/2015 | 07/2018 |
| Principal Securities, Inc. | Addison | TX | 07/2018 | Present |
| Principal Life Insurance Company | Addison | TX | 07/2018 | Present |
MINDY KRAUSMAN POSITION: Teacher NATURE: Teacher INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/26/2023 ADDRESS: 6235 Cupertino Trl, Dallas TX 75252, United States DESCRIPTION: Yoga teacher.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-15 |
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