Principal securities

Principal Securities^® is committed to help you on your path to financial well-being.

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

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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

$485 million in total revenue
138,844 brokerage accounts

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)

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Frequently asked questions

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Call 888-774-6267

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)

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