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PURSUING FINANCIAL WELL-BEING? PRINCIPAL SECURITIES IS COMMITTED TO HELPING YOU.


PURSUING FINANCIAL WELL-BEING? PRINCIPAL SECURITIES IS COMMITTED TO HELPING YOU.

We've been teaming with financial professionals to help investors pursue their
financial goals for over 50 years.


OUR FOCUS

Principal Securities, Inc. (Principal Securities) is the retail broker-dealer
and a registered investment adviser (RIA) for Principal®. We’ve been teaming
with financial professionals to help investors pursue their financial goals for
over 50 years. We offer a competitive platform of securities, available through
financial professionals, to help meet your needs.

We offer products and solutions for individuals and businesses, including mutual
funds, annuities, rollover IRAs, traditional and Roth IRAs, brokerage accounts,
asset allocation programs, retirement planning, and investment tools, and
education for savers in all life stages.


PRODUCTS AND SERVICES

 * Managed Programs
 * Financial Planning
 * Brokerage Services
 * Mutual Funds
 * Annuities
 * Individual Securities
 * Trust Services


BY THE NUMBERS

 * $367 million in total revenue1
 * 124,046 brokerage accounts2


PRINCIPAL SECURITIES FORM CRS

Principal Securities, Inc. Form CRS Client Relationship Summary (PDF)


IMPORTANT INFORMATION ABOUT YOUR ACCOUNTS

Transactional brokerage account fee schedule (PDF)
Advisory account fee schedule (PDF)
Advisory account fee schedule - Transaction based pricing (PDF)

Fee-based account minimums (PDF)
Bank deposit sweep program (PDF)
SEC Rule 606 trade reporting


PRINCIPAL CONNECTION

Principal Securities, Inc. Form CRS Client Relationship Summary and Principal
Connection Regulation Best Interest Client Disclosure - Education (PDF)
Principal Securities, Inc. Form CRS Client Relationship Summary and Principal
Connection Regulation Best Interest Client Disclosure - Dual Reg (PDF)

Principal Connection broker dealer services client fee schedule (PDF)

Review our business continuity document (PDF) to learn more about how we will
handle events that significantly disrupt our business.


NEED HELP?



ARE YOU A CURRENT CLIENT?

Log in


CHECK OUT OUR FAQ

for answers to our common questions

Frequently Asked Questions



SPEAK TO OUR CUSTOMER SERVICE TEAM

Call 888-774-6267



or contact your financial professional with any questions you have. Check the
background of this firm, and its financial professionals on FINRA's BrokerCheck


DISCLOSURES


FORM ADV DISCLOSURE BROCHURES

Principal managed account solutions programs (PDF)

Principal financial planning and consulting services (PDF)

Principal direct advisory accounts (PDF)

Principal retirement plan consulting services (PDF)


OTHER IMPORTANT DISCLOSURES

Principal Securities Regulation Best Interest Client Disclosure (PDF)

Third party payments (PDF)

Privacy notice (PDF)


PROTECT YOURSELF

Review our Current Fraud Alerts and Scams forum to get insight into various
fraud schemes and the actions you can take if you fall victim.

Learn five ways you can protect your online information.

--------------------------------------------------------------------------------

1 As of 12/31/2022

2 As of 12/21/2022

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other websites you visit.    If you do not allow these cookies you may not be
able to use or see these sharing tools.

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