We've been teaming with financial professionals to help investors pursue their financial goals for over 55 years.
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 55 years. We offer a wide range of products and services for individuals and businesses in all stages.
Want to know more about Principal Securities? PSI Broker-Dealer profile (PDF)
Check out our FAQ for answers to common questions Frequently asked questions
Important disclosures for clients
- Principal Securities, Inc. Form CRS Client Relationship Summary (PDF)
- Principal Securities Regulation Best Interest Client Disclosure (PDF)
Other important disclosures
- Third party payments (PDF)
- Privacy notice (PDF)
- Review our business continuity document (PDF) to learn more about how we’ll handle events that significantly disrupt our business.
Important information for Principal Connection clients
- 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)
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)
Important information about your accounts
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