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Principal Securities, Inc.

● SEC registered since 1997CRD 1137SEC# 801-54949Des Moines, IA
Export (members)
Reg. AUM
$14.83B
Employees
1,436
Accounts
63,730
Location
Des Moines, IA

Principal Securities, Inc. assets under management

Principal Securities, Inc. is an investment advisory firm registered with the SEC based in Des Moines, IA. The firm has been registered since 1997. It reports $14.8 billion in regulatory assets under management and employs 1,436 people.
x.com/principalView on SEC.gov ↗

Principal Securities, Inc. owners & executives

14 reported
NameTitleOwnershipSince
Amy Christine Friedrich ControlDirectorUnder 5%2019
Chad Thomas Claire ControlChief Information OfficerUnder 5%2019
Cody Anthony Lawler ControlHead Of Supervision, Head Of OperationsUnder 5%2024
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Frequently asked questions

How much does Principal Securities, Inc. manage?

Principal Securities, Inc. reports $14.8 billion in regulatory assets under management on its Form ADV.

How many employees does Principal Securities, Inc. have?

Principal Securities, Inc. reports 1,436 employees.

Where is Principal Securities, Inc. located?

Principal Securities, Inc. is based in Des Moines, IA and has been SEC-registered since 1997.

Does Principal Securities, Inc. disclose fund performance?

Principal Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address711 High Street, Des Moines, IA 50392
Phone888-774-6267
Fax515-235-9235
Office hours8:00 - 5:00
SEC regionChicago Regional Office (CHRO)
CIK12600
Discloses disciplinary historyYes

Assets under management

Discretionary$10.85B
Non-discretionary$3.98B
Total (RAUM)$14.83B