Full text of PRINCIPAL SECURITIES, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). 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, 2020 With Report and Supplemental Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITEDSTATE,S SECURITIES AND EXCIIANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours erres 12.00 8.13975 SEC FILE NUMBER # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill 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 | 01/01/20 | 12/31/20<br>AND ENDING | | | |---------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------|------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Principal Securities, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS:<br>(Do not use P.O. Box No.)<br>655 9th Street | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | | (No. and Street) | | | | | Des Moines | Iowa | 50309 | | | | (City) | (State) | (Zip code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>David Rigier 515-878-8928 | | | | | | | | | (Area Code — Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Ernst & Young, LLP | | | | | | | (Name — i,rjndivldual, state last. first, middle name) | | | | | 801 Grand Ave, Suite 3000 | Des Moines | Iowa | 50309 | | | (Address) | (City) | (State) | (Zip code) | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant<br>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 statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) Potential persons who are to respond to the collection of information contained in thi…Read the full text as markdown