Principal Securities, Inc.
● SEC registered since 1997CRD 1137SEC# 801-54949Des Moines, IA
Reg. AUM
$17.02B
Employees
1,464
Accounts
68,981
Location
Des Moines, IA
Principal Securities, Inc. assets under management
Principal Securities, Inc. is an investment advisory firm registered with the SEC based in Des Moines, IA. The firm has been registered since 1997. It reports $17 billion in regulatory assets under management and employs 1,464 people.
Principal Securities, Inc. owners & executives
14 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Amy Christine Friedrich Control | Director | Under 5% | 2019 |
| Chad Thomas Claire Control | Chief Information Officer | Under 5% | 2019 |
| Cody Anthony Lawler Control | Head Of Supervision, Head Of Operations | Under 5% | 2024 |
See all 14 owners & executives — unlock the full record.
Join to unlock · $37/moFrequently asked questions
How much does Principal Securities, Inc. manage?
Principal Securities, Inc. reports $17 billion in regulatory assets under management on its Form ADV.
How many employees does Principal Securities, Inc. have?
Principal Securities, Inc. reports 1,464 employees.
Where is Principal Securities, Inc. located?
Principal Securities, Inc. is based in Des Moines, IA and has been SEC-registered since 1997.
Does Principal Securities, Inc. disclose fund performance?
Principal Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 711 High Street, Des Moines, IA 50392 |
| Phone | 888-774-6267 |
| Fax | 515-235-9235 |
| Office hours | 8:00 - 5:00 |
| SEC region | Chicago Regional Office (CHRO) |
| CIK | 12600 |
| Discloses disciplinary history | Yes |
Regulatory AUM
$17.02B▲ 15%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 6%
Larger than 94% of 16,271 advisers
EmployeesTop 1%
More than 99% of 16,825 advisers
Assets under management
$17.02Bregulatory AUM
Discretionary $14.15BNon-discretionary $2.88B