Full text of PRINCIPAL SECURITIES, INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). 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, 2021 With Report and Supplemental Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | UMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | | SEC FIFE NUMBER | | 8-13975 | # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FILING FOR THE PERIOD BEGINNING 01/01/21 | MM/DD/YY | AND ENDING 12/31/21 | MM/DD/YY | | | |---------------------------------------------------------------------------------------------------------------------------------|------------------------------------------|------------------------------------------------------------------------|---------------------|--------------------------------------------|--|--| | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Principal Securities, Inc. | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | [J Security-based swap dealer __ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 655 9th Street | | | | | | | | | | (No. and Street) | | | | | | Des Moines | | owa | | 50309 | | | | (City). | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | David Rigler | | 515-878-8928 | | rigler.david@principal.com | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young, LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | Des Moines | lowa | 50309 | | | | 801 Grand Avenue, Suite 3100 | | (City) | (State) | (Zip Code) | | | | (Address) | | | | | | | | 10/20/2003 | | | 42 | | | | | (Date of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | | accountant must be supported by a…Read the full text as markdown