Principal Securities, Inc.
Firm details
- Headquarters
- Des Moines, Iowa
- CRD number
- 1137
- Registered since
- October 10, 1997
- Website
- www.principal.com
- Custodians
- NATIONAL FINANCIAL SERVICES LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Other
- Client types
- Individuals65.85%
- HNWI32.46%
- Corporations / Businesses1.11%
- Charitable Organizations0.46%
- Pension & Profit Sharing Plans0.12%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Principal Securities, Inc. operates as an insurance-focused broker-dealer that also provides advisory services. The firm is SEC-registered (since 1997) and serves both individual/family clients and institutional accounts. Its service mix includes financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, selection of other advisers, and educational seminars. Compensation structures vary across clients and engagements and include percentage-of-AUM arrangements, hourly and fixed fees, and other fee models. The firm reports being an active ESG investor and identifies as a domestic entity/individual owner type. Principal Securities does not act as a capital allocator for its own proprietary vehicles.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds75%
- Exchange Traded Equities14%
- Cash & Cash Equivalents4%
- Non-Exchange Traded Equities1%
- US Government Bonds1%
Owners & executives
3 of 20
Sarah Frieberg
Founder & CEOCRD 6203241
Inaam Ziyadeh
President, CEOCRD 6291488
Thomas Drogan
Chief Compliance OfficerCRD 2760482
Contacts
3 of 2759Daija Dietz
Registered RepresentativeCRD 8059565
Brandon Littleton
Financial RepresentativeCRD 5888076
Frank Leong
Registered RepresentativeCRD 5971895
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 937Active vs passive
$6.6B in ETFs
54%
$3.6B
30%
$3B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| PRINCIPAL INTERNATIONAL EQUITY ETF (PIEQ) | $396M | 11,041,875 | 6.02% |
Location
Des Moines, IA
Polk
Location
Des Moines, IA
Headquartered in Des Moines, IA, anchoring the Des Moines-Ames-West Des Moines, IA metro in the Midwest.
- Metro area
- Des Moines-Ames-West Des Moines, IA
- Region
- Midwest
- County
- Polk
- Address
- 711 High St
- Time zone
- CT (UTC-6)
- Office locations
Similar firms
Fidelity & Guaranty Securities, LLC
Broker-DealerDes Moines, IA
D.M. Kelly & Company
Broker-DealerDes Moines, IA
Anico Financial Solutions, LLC
Broker-DealerDes Moines, IA
Principal Funds Distributor, Inc.
Broker-DealerDes Moines, IA
Integrity Alliance, LLC
Broker-DealerUrbandale, IA
Nations Financial Group, Inc.
Broker-DealerCedar Rapids, IA