Principal Securities, INC.
Des Moines, IA·SEC-registered · CRD #1137
Principal Securities, INC. is an SEC-registered investment advisory firm in Des Moines, IA managing $17B across 78k client accounts, with 1.5k advisory staff.
Regulatory snapshot
Verify on SEC.govRegulatory AUM
$17B
Client accounts
78k
Advisory staff
1.5k
Fee model
Fee-based
How Principal Securities, INC. is paid
Compensation arrangements disclosed on Form ADV. A fee-based firm may earn both client fees and product commissions; ask which applies to you.
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Common questions about Principal Securities, INC.
How much does Principal Securities, INC. manage?
Per its most recent SEC Form ADV filing (03/30/2026), Principal Securities, INC. reports $17B in regulatory assets under management across roughly 78k client accounts.
How does Principal Securities, INC. charge?
Principal Securities, INC. is a fee-based firm. Its disclosed compensation arrangements are: % of assets, Hourly, Commissions. Exact fee schedules appear in the firm's Form ADV Part 2 brochure — confirm current fees directly with the firm.
Is Principal Securities, INC. a fiduciary?
Yes. Principal Securities, INC. is registered with the U.S. Securities and Exchange Commission (CRD #1137), and SEC-registered investment advisers owe a fiduciary duty to act in their clients' best interest. You can verify its registration and any disclosures on the SEC's public record.
Is Principal Securities, INC. taking new clients like me?
Availability and account minimums vary and aren't in the public filing. The fastest way to find out is the free 2-minute match — it checks Principal Securities, INC. and comparable advisors against your goals and assets, and only surfaces firms open to your situation.
Other advisory firms in Des Moines, IA
Profile compiled from Principal Securities, INC.'s public SEC Form ADV filing (CRD #1137, filed 03/30/2026). AdvisoryReviews is an independent comparison and matching service and is not affiliated with, endorsed by, or a partner of Principal Securities, INC.. Listing does not imply any relationship. Figures are as reported to the SEC and may have changed; verify current details at adviserinfo.sec.gov. Are you with Principal Securities, INC.? Claim this profile.