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Lee Marvin Harms

PRINCIPAL SECURITIES, INC.·DES MOINES, Iowa
SIE, Series 99Clean recordPRINCIPAL SECURITIES, INC.
655 9TH STREET, DES MOINES, IA 50309CRD# 6663355Firm CRD# 1137

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Lee Marvin Harms · DES MOINES, IA
Registration
CRD #6663355 · PRINCIPAL SECURITIES, INC.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 99
02

Disclosure History

Clean record · no disclosure events on file

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

03

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. →
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04

Frequently Asked Questions

What services does Lee Marvin Harms offer?
Lee Marvin Harms specializes in Financial Planning, Investment Management. Contact their office in DES MOINES, Iowa for a consultation.
What are Lee Marvin Harms's credentials?
Lee Marvin Harms is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Lee Marvin Harms located?
Lee Marvin Harms 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 Lee Marvin Harms charge for services?
Lee Marvin Harms'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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Other Advisors at PRINCIPAL SECURITIES, INC.

Catherine Meaghan Alvarez
DES MOINES, IA
Brock Jeffrey Cooper
DES MOINES, IA
Douglas John Rants
DES MOINES, IA
Traci Lea Weldon
DES MOINES, IA
David Andrew Rigler
DES MOINES, IA
Julie Sinn Leclere
DES MOINES, IA

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Nearby cities in Iowa
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City Guides
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Research
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