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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 | 2026-08-10 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Spring, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | Des Peres | MO | 02/2011 | 11/2025 |
| Unemployed | Spring | TX | 11/2025 | 07/2026 |
| Principal Life | Des Moines | IA | 08/2026 | Present |
| Principal Securities, Inc. | Des Moines | IA | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-21 |
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