CRD #1137 · FINRA BrokerCheck + SEC IAPD

Principal Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Principal Securities, Inc. ranks #581 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #3 of 17 on the same disclosure sort used on the state browse page. Principal Securities, Inc. carries 12 BrokerCheck disclosures across 1,061 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1,061
branch offices
12
disclosures
#581 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1137 Principal Securities, Inc.

Principal Securities, Inc. · Grade B · 12 disc · 0.01/office · National firm

  • CRD 1137
  • GRADE B
  • DISC 12
  • REG 9
  • ARB 3
  • CIV 0
  • BRANCH 1,061
  • PER-OFF 0.01
  • RANK #581 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: PNC Wealth Management LLC (0.01 disc/office)

PNC Wealth Management LLC0.01Ameriprise Financial Se…0.01Truist Investment Servi…0.01Principal Securitie… (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Principal Securities, Inc. ranks #581 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1,061 offices

FINRA: Large firm

Total disclosures

12 events

On FINRA BrokerCheck

Regulatory events

9 actions

75% of all disclosures

Disclosures per office

0.01 per office

12 ÷ 1,061 offices

Principal Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 9
Arbitrations 3
Civil Events 0
Total 12

Counts for Principal Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 9 Arbitration 3 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Des Moines, IA
CRD Number
1137

Lower disclosures per office

Principal Securities, Inc. in the heavier-disclosure third

Principal Securities, Inc. carries 12 BrokerCheck disclosures across 1,061 branch offices - a heavier-third raw book among graded firms (#581 of 20,055). Regulator-initiated events are 75% of the book (9 regulatory / 3 arbitration / 0 civil).

Principal Securities, Inc. runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Principal Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Iowa cohort · 2.04× state average

Principal Securities, Inc. sits above the Iowa disclosure average

Principal Securities, Inc. reports 12 BrokerCheck disclosures, 2.04× the Iowa average of 5.9 across 17 graded firms with a principal-office state on file.

In Iowa, 5 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Iowa state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Principal Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Principal Securities, Inc. ranks #581 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #3 of 17 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Principal Securities, Inc.?
A grade of B reflects Principal Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 12 total disclosures across 1,061 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Principal Securities, Inc. have?
Principal Securities, Inc. has 12 total FINRA disclosures, including 9 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Principal Securities, Inc.?
Principal Securities, Inc. operates 1,061 branch offices and is classified by FINRA as a large firm, registered in IA (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Principal Securities, Inc.'s disciplinary record?
You can verify Principal Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1137. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Principal Securities, Inc.'s 12 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Principal Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Principal Securities, Inc. carries 12 disclosures across 1,061 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Principal Securities, Inc., both outside IA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.