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Detailed Report
NICHOLAS ALAN FOX
NICK FOX
CRD#: 7679960
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
Registration History
2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Iowa 10/10/2024
B
Virginia 10/10/2024
IA
Iowa 10/10/2024

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)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
Registered with this firm since 10/10/2024
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
Registered with this firm since 3/18/2024
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.