Principal Securities, Inc.
711 HIGH STREET, Des Moines, Iowa 50392
Confirmed via SEC Form ADV registration data. This firm has a legal obligation to act in your best interest.
This firm has disclosed additional revenue sources (insurance, brokerage, or proprietary products) in their SEC filings. Review the details below.
Fee Structure
Detailed Fee Schedule
Client Fee increases, the Client Fee will never exceed the maximum allowable fee of 3.00%. When a sleeve adjustment is made to a UMA Select model by either the Financial Advisor in agreement with the Advisory Client, or an MMA Select model by a Portfolio Manager, the cost of the progr
Source: Form ADV Part 2 BrochureDisciplinary Disclosures
This firm has 16 disclosures on record with the SEC.
Regulatory actions
A disclosure does not necessarily indicate wrongdoing. Verify details on SEC Adviser Info or FINRA BrokerCheck.
Compensation Transparency
- Also registered with a broker-dealer
- Also offers proprietary investment products
These additional revenue sources are disclosed in the firm's Form ADV filing with the SEC. Ask the advisor directly how these affiliations affect the advice you receive.