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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 | 2025-05-20 |
| FL | RA | APPROVED | 2021-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Polo Ralph Lauren | Orlando | FL | 10/2017 | 02/2018 |
| Unemployed | Orlando | FL | 06/2017 | 10/2017 |
| Lmo Horsens | Horsens | 09/2014 | 06/2017 | |
| Foresters Financial Services | Tampa | FL | 02/2018 | 06/2019 |
| Principal Life Insurance Company | Orlando | FL | 08/2019 | 04/2021 |
| Principal Securities Inc. | Orlando | FL | 08/2019 | 04/2021 |
| Principal Life Insurance Company | Maitland | FL | 06/2021 | Present |
| Principal Securities Inc | Maitland | FL | 06/2021 | Present |
| Unemployed | Orlando | FL | 06/2019 | 08/2019 |
**Fixed Insurance; Investment Related; Orlando, FL; Agent; Fixed Life, DI, Annuity, LTC, Health, Group Benefits; Start Date: 06/01/2021; 15 hrs per month; 15 during trading hours. **RENTAL PROPERTY VESTERGADE POSITION: Rental property Vestergade NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2014 ADDRESS: Vestergade 19D, Varde - Denmark DESCRIPTION: I have my old apartment I bought in 2009, which has been rented out since 03/01/2014.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 2019-03-26 |
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