Principal Securities, INC.

Public-record details

Address

711 High Street, Des Moines, IA 50392

Phone

(888) 774-6267

Listed under

Financial planning, Hourly fees, Flat / fixed fees, % of assets managed, Retirement plan consulting

CRD number

1137

Registration

SEC registered since 1997-10-10

Compensation (Form ADV 5.E)

Percentage of assets under management; Hourly charges; Fixed fees; Other (Seminar Fees, Solicitors Fees, Subscription Consulting Fees)

Commissions

None reported (Form ADV Item 5.E)

Services (Form ADV 5.G)

Financial planning; Portfolio management for individuals/small businesses; Pension consulting; Selection of other advisers; Educational seminars/workshops

Regulatory assets under management

$17.0 billion

Accounts managed

68,981

Clients reported (Form ADV 5.D)

51,941

Individual / high-net-worth clients

49,012 / 2,638

Employees

1464

Other business activities (Form ADV 6.A)

Also active as: broker-dealer

Disclosures reported on Form ADV

Yes — see IAPD for details

Latest Form ADV filing

2026-03-30

SEC registered investment adviser, CRD 1137, per the SEC IAPD compilation report of 2026-09-29. Source: SEC Investment Adviser Public Disclosure (IAPD) (record). Data as of 2026-09-30.

Read the official record

• SEC IAPD summary for CRD 1137 — registration, Form ADV, the Part 2 brochure (fees, conflicts, minimums), and details of the disclosures reported on Form ADV.
• FINRA BrokerCheck — look up the individual advisers at this firm.
• Firm website (as listed on Form ADV)

Figures are what the firm reported on Form ADV Part 1A. “No commissions reported” means the firm did not check commissions as a form of compensation in Item 5.E; check Item 6.A activities and the Part 2 brochure for other conflicts. A “Yes” for disclosures is a public-record fact from Form ADV Item 11; it can relate to the firm or its advisory affiliates, can be old, and does not by itself describe the outcome. We do not rate or rank advisers.