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Thomas John Drogan

PRINCIPAL SECURITIES, INC.·DES MOINES, Iowa
Series 14, Series 99TOClean recordPRINCIPAL SECURITIES, INC.
711 HIGH STREET, DES MOINES, IA 50392CRD# 2760482Firm CRD# 1137

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Thomas John Drogan · DES MOINES, IA
Registration
CRD #2760482 · PRINCIPAL SECURITIES, INC.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
Series 14
Series 99TO
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. →
Introduction

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Frequently Asked Questions

What services does Thomas John Drogan offer?
Thomas John Drogan specializes in Financial Planning, Investment Management. Contact their office in DES MOINES, Iowa for a consultation.
What are Thomas John Drogan's credentials?
Thomas John Drogan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Thomas John Drogan located?
Thomas John Drogan 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 Thomas John Drogan charge for services?
Thomas John Drogan'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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Research
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