Unclaimed Profile

Douglas Brian Hodgson

PRINCIPAL SECURITIES, INC.·DES MOINES, Iowa

PRINCIPAL SECURITIES, INC.

655 9TH STREET, DES MOINES, IA 50309CRD# 5994479Firm CRD# 1137

Profile Verification

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

Identity

Douglas Brian Hodgson · DES MOINES, IA

Registration

CRD #5994479 · PRINCIPAL SECURITIES, INC.

Brand Profile

Not yet started

Disclosure history

11 disclosures on file · See FINRA BrokerCheck for full record

About

Douglas Brian Hodgson is a registered financial advisor based in DES MOINES, Iowa, affiliated with PRINCIPAL SECURITIES, INC.. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Financial Planning

Investment Management

Client Types

Individuals

High Net Worth Individuals

Nonprofits & Foundations

Introduction

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Firm Overview

Firm

PRINCIPAL SECURITIES, INC.

AUM

$12.1B

Regulatory assets under management

Employees

1349

Total firm employees

View all advisors at PRINCIPAL SECURITIES, INC. →

Services

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Background

Compensation

Percentage of AUM

Hourly charges

Subscription fees

Other: SEMINAR FEES, SOLICITORS FEES, SUBSCRIPTION CONSULTING FEES

Regulatory

SEC/IARD CRD# 5994479

Firm CRD# 1137

View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does Douglas Brian Hodgson offer?

Douglas Brian Hodgson specializes in Financial Planning, Investment Management. Contact their office in DES MOINES, Iowa for a consultation.

What are Douglas Brian Hodgson's credentials?

Douglas Brian Hodgson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Douglas Brian Hodgson located?

Douglas Brian Hodgson is based in DES MOINES, Iowa, working with PRINCIPAL SECURITIES, INC.. Their office serves clients in the DES MOINES metropolitan area and surrounding communities.

How does Douglas Brian Hodgson charge for services?

Douglas Brian Hodgson'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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