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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 Oct 1, 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://WWW.PRINCIPAL.COM/
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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 1,436 | 1,464 | increased by28 |
| Apr 1, 2026 | Clients | 48,723 | 51,941 | increased by3,218 |
| Apr 1, 2026 | AUM | $14,827,718,110 | $17,024,265,096 | increased by$2,196,546,986 |
| Apr 1, 2026 | Accounts | 63,730 | 68,981 | increased by5,251 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 1,455 | 1,436 | decreased by19 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 35,953 | 48,723 | increased by12,770 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $11,438,676,101 | $14,827,718,110 | increased by$3,389,042,009 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 44,544 | 63,730 | increased by19,186 |
| Apr 1, 2022 | Employees | 1,536 | 1,455 | decreased by81 |
| Apr 1, 2022 | Clients | 31,647 | 35,953 | increased by4,306 |
| Apr 1, 2022 | AUM | $9,321,392,748 | $11,438,676,101 | increased by$2,117,283,353 |
| Apr 1, 2022 | Accounts | 38,492 | 44,544 | increased by6,052 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PRINCIPAL SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PRINCIPAL SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
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.