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For individuals

Principal securities
Principal Securities® is committed to helping 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.

Man and woman seated on a couch looking at investment terms on a laptop computer
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

  • Mutual funds
  • Annuities
  • Individual retirement accounts (IRAs)
  • Brokerage accounts and services
  • Managed account programs
  • Financial planning and consulting
  • Alternative investments
  • Retirement planning and investment tools
  • Trust services
  • Individual securities

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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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)
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Footnotes

As of Dec. 31, 2024. As of Dec. 31, 2024.