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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2026-02-24 |
Branch Locations
11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • 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 |
|---|---|---|---|---|
| Principal Life Insurance Company | Minnetonka | MN | 10/2025 | Present |
| Principal Securities, Inc. | Minnetonka | MN | 10/2025 | Present |
| Full Time Parent/Unemployed | Victoria | MN | 03/2024 | 10/2025 |
| Healthpartners | Bloomington | MN | 12/2020 | 04/2024 |
| Unemployed | Victoria | MN | 10/2020 | 12/2020 |
| Wand Corporation | Eden Prairie | MN | 05/2019 | 10/2020 |
| Federal Package Network | Chanhassen | MN | 12/2017 | 05/2019 |
| Unemployed | Mankato | MN | 08/2017 | 12/2017 |
| Cinch Connectivity Solutions | Waseca | MN | 12/2015 | 08/2017 |
| Minnesota National Guard-Active Duty Orders Service | Mankato | MN | 04/2016 | 07/2017 |
| Minnesota National Guard | Mankato | MN | 02/2007 | 02/2019 |
**FIXED INSURANCE POSITION: Financial Representative NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 04/16/2026 ADDRESS: 11100 Wayzata Blvd, Minnetonka MN 55305, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **CHASKA CHANHASSEN HOCKEY ASSOCIATION POSITION: Coach NATURE: Youth Hockey Coach INVESTMENT RELATED: No NUMBER OF HOURS: 56 SECURITIES TRADING HOURS: 0 START DATE: 04/16/2026 ADDRESS: 1459 Spruce Point, Victoria MN 55386, United States DESCRIPTION: Coaching youth hockey.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 2025-09-05 |
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