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PRINCIPAL SECURITIES, INC.
CRD 1137File 801-54949
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$17.02B
Top 10% of cohort (national)
Discretionary AUM
$14.15B
Non-discretionary $2.88B
Clients
51,941
68,981 accounts
Employees
1,464
Top 10% of cohort in IA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Oct 10, 1997
- Principal office
- 711 HIGH STREET, DES MOINES, IA, 50392
- Phone
- 888-774-6267
- Website
- HTTPS://X.COM/PRINCIPAL
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $17.02B
- Discretionary AUM
- $14.15B
- Non-discretionary AUM
- $2.88B
- Discretionary accounts
- 60,057
- Non-discretionary accounts
- 8,924
- Total accounts
- 68,981
- AUM per client
- $328K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 221 | $189.2M |
| Charitable organizations | 41 | $77.7M |
| High net worth individuals | 2,638 | $5.53B |
| Pension and profit sharing plans | 29 | $20.3M |
| Individuals (other than high net worth individuals) | 49,012 | $11.21B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — SEMINAR FEES, SOLICITORS FEES, SUBSCRIPTION CONSULTING FEES
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11D5
- Q11E2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.