Full text of PRINCIPAL SECURITIES, INC.'s X-17A-5 filed 2025-02-26 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ F INANC IAL S TATEMENTS AND S UPPLEMENTAL I NFORMATION Principal Securities, Inc. Year Ended December 31, 2024 With Report and Supplemental Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden h ## ANNUAL REPORTS FORM X-17A-5 PART III | 12<br>ours per response: | | |--------------------------|--| | SEC FILE NUMBER | | | 8-13975 | | MM/DD/YY 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 01/01/24 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Principal Securities, Inc TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer Check here if respondent is also an OTC derivatives dealer AND ENDING\_12/31/24 ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 711 High Street | | (No. and Street) | | | | |--------------------------------------------------|---------------------------------------------------------------------------|-----------------|--------------------------------------------|--| | Des Moines | Owa | | 50392 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Dawn Roberts | 515-288-5863 | | roberts.dawn@principal.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Ernst & Young, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 801 Grand Ave, Suite 3100 Des Moines | lowa | 50309 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/2012003 | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {2}---------------------------------------------…Read the full text as markdown