Principal Securities, Inc. (CRD 1137)
SEC-registered broker-dealer (File 00813975)
Public listing
- Legal name
- Principal Securities, Inc.
- License or register id
- CRD 1137
- State
- IA
- City
- Des Moines
- Category
- Broker-Dealer
- Official source
- SEC Company Information About Active Broker-Dealers
Verify this record on the official source named above before you hire, fund, or rely on it. An index listing is not an endorsement, a rating, or a review. Empty phone or address means that public file did not include it.
About
Principal Securities, Inc. is listed among active SEC-registered broker-dealers (CIK 12600, SEC file 00813975). Address fields from the SEC FOIA company information file. Also listed on FINRA's public Broker-Dealer Firms We Regulate directory. Also appears on SEC IAPD ADV firm roster with CRD 1137.
How to verify
How do I verify Principal Securities, Inc.?
Match the firm name and CRD or SEC file number on FINRA BrokerCheck or EDGAR.
What does this listing show?
The broker-dealer or securities registration from the SEC or FINRA public file.