Principal Securities, Inc.

Principal Securities, Inc. (CRD# 1137) is a financial advisory firm headquartered in Des Moines, IA. They manage $1,622,407,722 in 15,486 accounts and serve the financial needs of clients across 50 states (or territories).

By the Numbers
  • Total Assets Under Management
    1,622
    MILLION
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Financial Advisors at Principal Securities, Inc.
Showing 1 - 10 of 1,622 top financial advisors.
1
Peter J. Anderson
CRD#: 4461644
4555 Lake Forest Dr, Ste 230a, Cincinnati, OH 45242
96
Wealthminder
score

Peter Anderson (CRD# 4461644) is an Investment Advisor Representative working at Principal Securities, Inc. in Cincinnati, OH and has over 15 years of experience in the finance industry. Peter Anderson has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Joseph R. Andrews
CRD#: 1046299
Saint George, UT
96
Wealthminder
score

Joseph Andrews (CRD# 1046299) is an Investment Advisor Representative working at Principal Securities, Inc. in Saint George, UT and has over 30 years of experience in the finance industry. Joseph Andrews has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

3
Austin B. Ayers
CRD#: 5422245
1900 West Loop S Ste 400, Houston, TX 77027
96
Wealthminder
score

Austin Ayers (CRD# 5422245) is an Investment Advisor Representative working at Principal Securities, Inc. in Houston, TX and has over 9 years of experience in the finance industry. Austin Ayers has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
John D. Baergen
CRD#: 4332267
5080 Spectrum Dr, Ste 700e, Addison, TX 75001
96
Wealthminder
score

John Baergen (CRD# 4332267) is an Investment Advisor Representative working at Principal Securities, Inc. in Addison, TX and has over 15 years of experience in the finance industry. John Baergen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

5
James T. Bardin
CRD#: 1099567
6820 W Linebaugh Ave, Ste 101, Tampa, FL 33625
96
Wealthminder
score

James Bardin (CRD# 1099567) is an Investment Advisor Representative working at Principal Securities, Inc. in Tampa, FL and has over 16 years of experience in the finance industry.

6
Travis G. Barnes
CRD#: 4821440
8910 Purdue Rd, Ste 710, Indianapolis, IN 46268
96
Wealthminder
score

Travis Barnes (CRD# 4821440) is an Investment Advisor Representative working at Principal Securities, Inc. in Indianapolis, IN and has over 8 years of experience in the finance industry.

7
Luis O. Barrionuevo
CRD#: 2132587
3401 Sw 160th Ave, Ste 400, Miramar, FL 33027
96
Wealthminder
score

Luis Barrionuevo (CRD# 2132587) is an Investment Advisor Representative working at Principal Securities, Inc. in Miramar, FL and has over 21 years of experience in the finance industry.

8
William E. Bates
CRD#: 811487
1001 Liberty Ave Ste 300, Pittsburgh, PA 15222
96
Wealthminder
score

William Bates (CRD# 811487) is an Investment Advisor Representative working at Principal Securities, Inc. in Pittsburgh, PA and has over 21 years of experience in the finance industry.

9
Robert J. Beck
CRD#: 1395076
1618 E Pleasant Valley Blvd, Altoona, PA 16602
96
Wealthminder
score

Robert Beck (CRD# 1395076) is an Investment Advisor Representative working at Principal Securities, Inc. in Altoona, PA and has over 24 years of experience in the finance industry.

10
Steven L. Becker
CRD#: 1762084
711 High St, Des Moines, IA 50392
96
Wealthminder
score

Steven Becker (CRD# 1762084) is an Investment Advisor Representative working at Principal Securities, Inc. in Des Moines, IA and has over 8 years of experience in the finance industry.

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