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Detailed Report
BRIAN DOUGLAS LATTA
CRD#: 5348644
IA
Investment Adviser
B
Broker
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 711 High St
Des Moines, IA 50392
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - 2017 (6 years)3 FIRMS2019 - Present (6 years)
License(s)

State Registrations

IA
Iowa 2/20/2019
B
Iowa 2/21/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
Clive, IA
Registered with this firm since 2/21/2019
B
PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261)
711 HIGH STREET, DES MOINES, IA 50392
Clive, IA
Registered with this firm since 2/21/2019
IA
PRINCIPAL ASSET MANAGEMENT (CRD#:109002)
711 High St, Des Moines, IA 50392
Registered with this firm since 2/20/2019
Previous Registration(s)
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IA
 01/03/2011 - 06/20/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CLIVE, IA
B
 01/03/2011 - 06/20/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CLIVE, IA
IA
 10/17/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) DES MOINES, IA
B
 08/06/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.