Full text of PRINCIPAL SECURITIES, INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### F I N A N C I A L S T A T E M E N T S A N D S U P P L E M E N T A L I N F O R M A T I O N Principal Securities, Inc. Year Ended December 31, 2019 With Report and Supplemental Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | hours per response 12.00 | |---------------------------| | | | SEC FILE NUMBER | | 8-13975 | 3235-0123 August 31, 2020 OMB APPROVAL Estimated average burden OMB Number: Expires: FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/19 | | AND ENDING 12/31/19 | | | | |-----------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|--------------------------------|--|--| | | MM/DD/Y Y | | MM/DD/Y Y | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: Principal Securities, Inc. | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 655 9th Street | | | | | | | Des Moines | (No. and Street)<br>lowa | | 50309 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Scott Christensen 515-248-5985 | | | | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Ernst & Young LLP | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 801 Grand Ave, Suite 3000 | Des Moines | lowa | 50309 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statent of facts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5(e)(2) > Potential persons w…Read the full text as markdown