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PRINCIPAL SECURITIES, INC.
DES MOINES, IA
888-774-6267
SEC #801-54949Total AUM
$17B
Employees
1,464Clients
51,941Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
711 HIGH STREET
DES MOINES
IA 50392
United States
DES MOINES
IA 50392
United States
Operating Hours
8:00 - 5:00
Monday - Friday
Monday - Friday
Phone
888-774-6267
Other Offices
358
Financials
Total AUM
$17B
Accounts
68,981Discretionary
$14.1B
Accounts
60,057Non-Discretionary
$2.9B
Accounts
8,924
Clients
Individual Clients
49,012AUM
$11.2B
HNW Individual Clients
2,638AUM
$5.5B
Pension/Profit Sharing Plan Clients
29AUM
$20.3M
Charitable Organization Clients
41AUM
$77.7M
Corporation or Business Clients
221AUM
$189.2M
Services
Services Offered
Advisor / Fund Manager SelectionEducationFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension Consulting
Compensation Types
Charges Fixed FeeCharges Hourly FeeCharges Other FeeCharges Percentage AUM
Other Compensation
SEMINAR FEES, SOLICITORS FEES, SUBSCRIPTION CONSULTING FEES
Compliance
Disclosures
Other Regulator Denial/Suspension/RevocationOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWV
Affiliates
Affiliates
Reported 20 business affiliates.
Claimed Affiliates
Reported as an affiliate by 19 other businesses.