Pursuing financial well-being? Principal Securities is committed to helping you.
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
- Individual Securities
- Trust Services
By the numbers
- $316.7 million in total revenue1
- 116,359 brokerage accounts2
Other 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 Securities, Inc Form CRS Client Relationship Summary and Principal Connection Regulation Best Interest Client Disclosure (PDF)
- Principal Connection broker dealer services client fee schedule (PDF)
What to do next
- Check out our frequently asked questions.
- Are you a current client? Log in to your account.
- Call 888-774-6267 to speak to our customer service team or contact your financial professional with any questions you have.
- Check the background of this firm, and its financial professionals on FINRA's BrokerCheck.
- Learn five ways you can protect your online information.
- 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.
1 As of 12/31/2020
2 As of 12/31/2020