Unclaimed Profile

Catherine Meaghan Alvarez

PRINCIPAL SECURITIES, INC.·DES MOINES, Iowa

SIE, Series 4, Series 7, Series 14, Series 24, Series 52TO, Series 53, Series 66, Series 99TOClean record19 years registeredPRINCIPAL SECURITIES, INC.

711 HIGH STREET, DES MOINES, IA 50392CRD# 5232936Firm CRD# 1137

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Catherine Meaghan Alvarez · DES MOINES, IA

Registration

CRD #5232936 · PRINCIPAL SECURITIES, INC. · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Jan 2020 – Sep 2023

DES MOINES, IA

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Apr 2015 – Dec 2019

FAIRFIELD, IA

LPL FINANCIAL LLC

Jun 2014 – Oct 2014

SAN DIEGO, CA

INDEPENDENT FINANCIAL GROUP, LLC

Dec 2013 – Apr 2014

SAN DIEGO, CA

FIRST ALLIED ADVISORY SERVICES, INC.

Apr 2012 – Oct 2013

SAN DIEGO, CA

FIRST ALLIED SECURITIES, INC.

Dec 2009 – Jul 2012

SAN DIEGO, CA

LPL FINANCIAL CORPORATION

May 2007 – Jan 2008

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 14

Series 24

Series 52TO

Series 53

Series 66

Series 99TO

Registration record

First registered · May 30, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PRINCIPAL SECURITIES, INC.

CRD 1137 · SEC 801-54949

AUM

$12.1B

Regulatory assets under management

Employees

1,349

54,844 client accounts

Services offered by PRINCIPAL SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at PRINCIPAL SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Catherine Meaghan Alvarez offer?

Catherine Meaghan Alvarez specializes in Financial Planning, Investment Management.

What are Catherine Meaghan Alvarez's credentials?

Catherine Meaghan Alvarez is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Catherine Meaghan Alvarez located?

Catherine Meaghan Alvarez is based in DES MOINES, Iowa, last registered with PRINCIPAL SECURITIES, INC..

How does Catherine Meaghan Alvarez charge for services?

Catherine Meaghan Alvarez's firm is compensated through percentage of aum, hourly charges, subscription fees, other: seminar fees, solicitors fees, subscription consulting fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRINCIPAL SECURITIES, INC.?

PRINCIPAL SECURITIES, INC. has approximately 1349 employees and manages $12.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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