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PRINCIPAL SECURITIES, INC.

dba PRINCIPAL SECURITIES, INC. · CRD 1137 · Registered Investment Adviser

Regulatory disclosure

PRINCIPAL SECURITIES, INC. is a Registered Investment Adviser headquartered in DES MOINES, IA. The firm reports $17,024,265,096 in regulatory assets under management across 68,981 accounts. It reports 9 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$14,145,909,165
Non-discretionary$2,878,355,931
Total RAUM$17,024,265,096
Accounts68,981

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 9 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 1137. adviserinfo.sec.gov/firm/summary/1137.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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