PRINCIPAL SECURITIES, INC.
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PRINCIPAL SECURITIES, INC.
(CRD# 1137)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Des Moines, IA.
The SEC approved the firm to operate as an RIA in
Oct 1997.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.1 Billion,
with discretion over
38%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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PRINCIPAL SECURITIES, INC.
also reported in
Mar 2019
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1603
employees,
all of whom perform advisory functions.
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A total of 351 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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PRINCIPAL SECURITIES, INC. has one or more disclosure events currently on file with the SEC.
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PRINCIPAL SECURITIES, INC. has Notice Filings with the following State Securities Authorities:
AK-Aug 2001, AL-Aug 1998, AR-Jan 1999, AZ-Aug 1998, CA-Aug 19
, CO-Jan 1999, CT-Jan 1999, DC-Jun 1999, DE-Jul 2003, FL-Aug 1
, GA-May 2001, HI-Aug 1998, IA-Jan 1999, ID-Aug 1998, IL-Aug 1
, IN-Aug 2001, KS-Jan 1999, KY-May 2001, LA-Aug 2001, MA-Apr 1
, MD-Aug 1998, ME-Feb 1999, MI-Aug 2001, MN-Jul 1998, MO-Aug 1
, MS-Jan 1999, MT-Mar 1999, NC-Apr 2001, ND-Jul 1999, NE-Sep 1
, NH-Jan 1999, NJ-Dec 1999, NM-Aug 1998, NV-Apr 1999, NY-Aug 1
, OH-Apr 1999, OK-Aug 1998, OR-Aug 2001, PA-Dec 1981, RI-Apr 1
, SC-Jan 1999, SD-Jan 1999, TN-Aug 1999, TX-Oct 1969, UT-Jan 1
, VA-Aug 1998, VT-Aug 1998, WA-Aug 1998, WI-Sep 1998, WV-Jan 1
, WY-Jul 2017
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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SEC. Feel free to contact
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