Mary Therese Gruenberg

Principal Securities, Inc.

CRD 4031682

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Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2026-08-25
TX	RA	APPROVED	2026-08-25

IL RA
APPROVED

Since 2026-08-25
TX RA
APPROVED

Since 2026-08-25

Branch Locations

101 W 22Nd St Ste 101, Lombard, IL 60148 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Farmers Insurance Group	Lombard	IL	07/1987	Present
Farmers Financial Solutions	Lombard	IL	08/2003	Present
Principal Securities, Inc.	Lombard	IL	07/2026	Present

07/1987 → Present

Farmers Insurance Group

Lombard, IL
08/2003 → Present

Farmers Financial Solutions

Lombard, IL
07/2026 → Present

Principal Securities, Inc.

Lombard, IL

Previous Registrations

2001-02-01 → 2003-07-02

Cetera Wealth Services, Llc

Crystal Lake, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-18
S63	Uniform Securities Agent State Law Examination	1999-11-02

S65 Uniform Investment Adviser Law Examination

1999-12-18
S63 Uniform Securities Agent State Law Examination

1999-11-02

Designations

Certified Financial Planner

View on SEC IAPD

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