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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2022-10-03 |
| TX | RA | APPROVED | 2022-10-03 |
Branch Locations
4600 S Syracuse St Ste 1000, Denver, CO 80237 • United States
2231 E Camelback Rd Ste 350, Phoenix, AZ 85016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thrivent Financial | Appleton | WI | 01/1999 | 09/2022 |
| Thrivent Investment Management Inc | Farmington | MN | 07/2002 | 09/2022 |
| Principal Life Insurance Company | Denver | CO | 09/2022 | Present |
| Principal Securities Inc | Denver | CO | 09/2022 | Present |
FIXED INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/03/2022 ADDRESS: 4600 S Syracuse Street, Suite 1000, Denver CO 80237, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long Term Care, Health, Medicare supplements, Group Benefits
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-01 |
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