Unclaimed Profile

Traci Lea Weldon

PRINCIPAL SECURITIES, INC.·DES MOINES, Iowa

SIE, Series 7, Series 24, Series 63, Series 65, Series 99TOClean record26 years registeredPRINCIPAL SECURITIES, INC.

655 9TH STREET, DES MOINES, IA 50309CRD# 2203819Firm CRD# 1137

Profile Verification

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

Identity

Traci Lea Weldon · DES MOINES, IA

Registration

CRD #2203819 · PRINCIPAL SECURITIES, INC. · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Jan 2000 – Jul 2022

DES MOINES, IA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 99TO

Registration record

First registered · January 18, 2000

Years registered · 26

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 Traci Lea Weldon offer?

Traci Lea Weldon specializes in Financial Planning, Investment Management.

What are Traci Lea Weldon's credentials?

Traci Lea Weldon is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Traci Lea Weldon located?

Traci Lea Weldon is based in DES MOINES, Iowa, last registered with PRINCIPAL SECURITIES, INC..

How does Traci Lea Weldon charge for services?

Traci Lea Weldon'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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