Wealth Manager
    SEC Registered
    Manages Private Funds

    Principal Securities, Inc.

    Registered investment advisor · Des Moines, Iowa · CRD #1137

    Assets Under Management
    $17B
    Client Accounts
    68,981
    Employees
    1,464
    CRD Number
    1137
    Registration
    SEC Registered
    Custodian
    National Financial Services Llc

    Source: SEC Form ADV filings. Data as of 2026-07-06.

    About Principal Securities, Inc.

    Principal Financial Group, Inc. (PFG) is a global financial investment management and insurance company based in Des Moines, Iowa. Founded in 1879, it originally served the financial needs of bankers and has since evolved into a Fortune 500 company with nearly 20,000 employees across 27 countries. The company operates through four main segments: Retirement and Income Solutions, Principal Global Investors, Principal International, and Benefits & Protection, offering a range of retirement plans, i

    Fee Structure

    Percentage of assets under management Yes
    Fixed fees Not reported
    Hourly charges Yes
    Performance-based fees Yes

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    Frequently Asked Questions

    What is Principal Securities, Inc.'s AUM?

    Principal Securities, Inc. reports approximately $17B in regulatory assets under management, based on its most recent SEC Form ADV filing.

    Where is Principal Securities, Inc. headquartered?

    Principal Securities, Inc. is headquartered in Des Moines, Iowa.

    What is Principal Securities, Inc.'s CRD number?

    Principal Securities, Inc.'s CRD number is 1137. You can use it to look up the firm's full regulatory record on the SEC's Investment Adviser Public Disclosure site.

    How many accounts does Principal Securities, Inc. manage?

    Principal Securities, Inc. manages approximately 68,981 client accounts according to its latest SEC filing.

    Is Principal Securities, Inc. SEC registered?

    Yes, Principal Securities, Inc. is registered with the SEC as an investment adviser with an approved registration status.

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