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PRINCIPAL SECURITIES, INC.

DES MOINES, IA · CRD 1137 · IAPD ↗ · 888-774-6267

$17.02BRegulatory AUM
1464Advisory reps
1464Employees
1717Clients
More than 500Planning clients
0Private funds
51States
16Disclosures
wealthSegment
ApprovedSEC status

Filing changes

85
April 2026 — PRINCIPAL SECURITIES, INC. grew from 1436 to 1464 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — PRINCIPAL SECURITIES, INC. added office(s): 384 -> 437 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — PRINCIPAL SECURITIES, INC. grew from 1349 to 1436 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2024 — PRINCIPAL SECURITIES, INC. shrank from 1430 to 1349 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2024 — PRINCIPAL SECURITIES, INC. added office(s): 350 -> 384 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2024 — PRINCIPAL SECURITIES, INC. reported RAUM up 29% ($9.42B -> $12.11B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.