Smith + Co — Des Moines, IA
Marketing BrandSmith+Co Financial Office: 515.344.4646. Fax: 515.346.6382 4019 Ingersoll Avenue Des Moines, IA 50312. Quick Links. All Articles · All Videos · All Calculators. Operating under PRINCIPAL SECURITIES, INC. (CRD #1137).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Smith + Co,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is PRINCIPAL SECURITIES, INC.. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
PRINCIPAL SECURITIES, INC.
CRD 1137 · Dual
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Smith + Co — it reflects the regulatory profile of PRINCIPAL SECURITIES, INC..
What This Means
The firm behind this brand has notable transparency gaps in their regulatory filings. We recommend reviewing the firm's fee structure and conflict disclosures before making decisions.
This places them in the 1th percentile of all scored firms.
This firm's regulatory filings leave significant questions unanswered. Review the full firm profile — including its fee structure and conflict disclosures — before making decisions.
See full score breakdownRegulatory Context
Regulatory oversight is under PRINCIPAL SECURITIES, INC.
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 2,439 firm advisors use this brand
PRINCIPAL SECURITIES, INC. has 2,439 total registered advisors. Only 1 operates under the Smith + Co brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Smith + Co brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.