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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 | 2021-03-08 |
| AZ | RA | APPROVED | 2019-03-28 |
Branch Locations
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 |
|---|---|---|---|---|
| Principal Life Insurance Company | Scottsdale | AZ | 04/2018 | Present |
| Principal Securities Inc | Scottsdale | AZ | 04/2018 | Present |
| Ciry Of Phoenix | Phoenix | AZ | 05/1996 | 04/2018 |
| Dignity Health | Phoenix | AZ | 04/2012 | 04/2018 |
***Fixed Insurance; Investment Related; Phoenix, AZ; Agent; Life, DI, Annuity, LTC, Health, Annuities, Group Health, Group DI, Group Medical; Start Date: 05/01/2019; varies hrs per month; varies during trading hours. ***Arizona Defensive Firearms Training; Not Investment Related; Peoria, AZ; Instructor; Arizona Defensive Firearms Training is a small business owned/staffed by current and former law enforcement. Teach/train responsible gun ownership, provide firearm instruction.; Start Date: 02/23/2020; 8 hrs per month; 0 during trading hours. SELF POSITION: Cypress Dr. Storage NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 27220 N 77th Ave, Peoria, Az 85383, Phoenix AZ 85016, United States DESCRIPTION: Storage rental on investment property/second home land. Land area will accomadte up to three vessels; boats, RV's, trailers. Potential income to be $600-1800 annually, based on occupancy and duration. Rental fee is approx. $50 per month. Rentals are month to month, or as needed. Property is in Prescott, AZ; located at 601 Cypress Dr. Prescott AZ 86303
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-11 |
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