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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 | 2021-06-18 |
| MO | RA | APPROVED | 2000-01-04 |
Branch Locations
16305 Swingley Ridge Rd Ste 465, Chesterfield, MO 63017 • United States
2 disclosure categories 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 | Saint Louis | MO | 07/1998 | Present |
| Principal Securities Inc. | Saint Louis | MO | 03/2016 | Present |
*GROUP OUTSIDE INSURANCE. 06/2010-PRESENT. OCCASIONAL SELLING OF GROUP INSURANCE TO EXISTING CLIENTS. NOT INVESTMENT RELATED. 5-8 HRS/MO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-09 |
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