David Ray Sims
Investment adviser representative at Principal Securities, Inc.
6 yearsExperience
1 stateRegistered in
CFP® certificationDesignation
$17BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
6 years in the industry.
- Principal Securities IncorporatedApr 2019 to now
- Principal Life Insurance CompanyApr 2019 to now
- Ten Talents Wealth ManagementOct 2017 to now
- Householder Group Estate & Retirement SpecialistsJan 2019 to Apr 2019
- LPL Financial LLCJan 2019 to Apr 2019
- Principal Life Ins CoSep 2013 to Jan 2019
- Princor Financial Services CorpSep 2013 to Jan 2019
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2008
- Series 65 · Uniform Investment Adviser Law2009
State registrations
Registered as an investment adviser representative in 1 state (TX).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5572258
- Firm CRD
- 1137