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Investment Adviser Firm Summary

PRINCIPAL SECURITIES, INC. (CRD# 1137 / SEC# 8-13975, 801-54949)
Alternate Names: BLC EQUITY SERVICES CORPORATION , PRINCIPAL FINANCIAL SERVICES CORPORATION , PRINCIPAL SECURITIES, INC. , PRINCOR FINANCIAL SERVICES CORPORATION , PRINCOR FINANCIAL/ SERVICES CORPORATION

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/10/1997

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/07/1998
Alaska 08/17/2001
Arizona 08/26/1998
Arkansas 01/15/1999
California 08/13/1998
Colorado 01/01/1999
Connecticut 01/13/1999
Delaware 07/23/2003
District of Columbia 06/01/1999
Florida 08/21/1998
Georgia 05/15/2001
Hawaii 08/14/1998
Idaho 08/31/1998
Illinois 08/07/1998
Indiana 08/16/2001
Iowa 01/01/1999
Kansas 01/13/1999
Kentucky 05/17/2001
Louisiana 08/16/2001
Maine 02/12/1999
Maryland 08/11/1998
Massachusetts 04/20/1999
Michigan 08/16/2001
Minnesota 07/08/1998
Mississippi 01/13/1999
Missouri 08/24/1998
Montana 03/15/1999
Nebraska 09/17/1998
Nevada 04/20/1999
New Hampshire 01/12/1999
New Jersey 12/02/1999
New Mexico 08/11/1998
New York 08/17/1998
North Carolina 04/12/2001
North Dakota 07/15/1999
Ohio 04/21/1999
Oklahoma 08/15/1998
Oregon 08/20/2001
Pennsylvania 12/24/1981
Rhode Island 04/28/1999
South Carolina 01/18/1999
South Dakota 01/12/1999
Tennessee 08/25/1999
Texas 10/15/1969
Utah 01/04/1999
Vermont 08/07/1998
Virginia 08/13/1998
Washington 08/10/1998
West Virginia 01/12/1999
Wisconsin 09/14/1998
Wyoming 07/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser