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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_RES | 2026-03-11 |
| FL | RA | APPROVED | 2022-01-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services Llc | Miami | FL | 06/2017 | 08/2018 |
| Mass Mutual | Miami | FL | 06/2016 | 08/2018 |
| Pruco Securities, Llc | West Palm Beach | FL | 08/2018 | 06/2019 |
| The Prudential Insurance Company Of America | West Palm Beach | FL | 08/2018 | 06/2019 |
| Principal Life Insurance Company | Miami | FL | 06/2019 | Present |
| Principal Securities Incorporated | Miami | FL | 06/2019 | Present |
***Fixed Insurance; Investment Related; Miramar, FL; Agent; Fixed Life, DI, Annuity, LTC, Group, Health, Medical; Start Date: 01/01/2018; 5 hrs per month; 5 during trading hours. ***Christopher Columbus High School Football Coach; Not Investment Related; Miramar, FL; Coach; position coach; Start Date: 06/01/2014; 40 hrs per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-01-26 |
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