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Principal Securities, Inc.

SEC CIK
0000012600
Latest filing
Aug 4, 2026

Holdings in Q3 2024

Holdings as of Sep 30, 2024, filed Oct 28, 2024. Long positions only; changes compare share counts with Q2 2024.

Institution overview
Positions
3,434
+45 vs. Q2 2024
Portfolio value
$4.14B
+$506.7M (+14.0%) vs. Q2 2024
Filed
Oct 28, 2024
SEC
Holdings of Principal Securities, Inc. in Q3 2024
SecurityClassSharesValue% of portfolioShare changeActionHistory
Principal Exchange Traded FD74255Y870US MEGA CP ETF4,411,268$251.4M6.1%+86,008+2.0%Added–
iShares Core MSCI Eafe ETF46432F842ETF1,473,731$115.0M2.8%+22,923+1.6%Added–
iShares Core S&P 500 ETF464287200ETF176,837$102.0M2.5%−24,628−12.2%Reduced–
iShares Core U.S. Aggregate Bond ETF464287226ETF996,327$100.9M2.4%+3010.0%Added–
Goldman Sachs ETF Tr381430123MARKETBETA US EQ932,801$73.5M1.8%+50,181+5.7%Added–
Principal Exchange Traded FD74255Y607PRIN U S SMALL1,297,491$67.4M1.6%+35,009+2.8%Added–
MSFTMicrosoft CorpStock136,555$58.8M1.4%+4,933+3.7%AddedHistory
Principal Exchange Traded FD74255Y714FOCU BLUE CH ETF1,777,507$58.7M1.4%+790,445+80.1%Added–
iShares Tr464287622RUS 1000 ETF160,217$50.4M1.2%−445−0.3%Reduced–
AMZNAmazon Com IncStock262,102$48.8M1.2%+21,032+8.7%AddedHistory
State Street SPDR Portfolio S&P 500 ETF78464A854ETF707,417$47.8M1.2%+74,970+11.9%Added–
AAPLApple Inc.Stock202,881$47.3M1.1%+21,439+11.8%AddedHistory
Principal Exchange Traded FD74255Y821PRNC INVT GRAD2,034,094$43.5M1.1%+137,445+7.2%Added–
Principal Exchange Traded FD74255Y300PRNCPL VLU ETF846,030$42.4M1.0%+21,608+2.6%Added–
Goldman Sachs ETF Tr381430107ACTIVEBETA INT1,076,844$38.9M0.9%+18,277+1.7%Added–
iShares Tips Bond ETF464287176ETF347,263$38.4M0.9%+14,876+4.5%Added–
NVDANVIDIA CorpStock312,821$38.0M0.9%+23,449+8.1%AddedHistory
iShares Core S&P Small Cap ETF464287804ETF295,818$34.6M0.8%+50,754+20.7%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF582,908$33.5M0.8%+26,429+4.7%Added–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF614,932$32.5M0.8%+614,392+113,776.3%Added–
Vanguard Morningstar Total Stock Market ETF922908769ETF111,964$31.7M0.8%−2,271−2.0%Reduced–
iShares Core S&P US Value ETF464287663ETF322,535$30.8M0.7%−3,606−1.1%Reduced–
iShares S&P 500 Growth ETF464287309ETF321,536$30.8M0.7%+24,836+8.4%Added–
iShares Core MSCI Total International Stock ETF46432F834ETF415,109$30.1M0.7%+49,598+13.6%Added–
Goldman Sachs ETF Tr38149W101ACCESS US AGRAT702,848$29.9M0.7%−22,968−3.2%Reduced–
Invesco Exch Traded FD Tr II46138E339S&P 500 MOMNTM321,860$29.2M0.7%+30,133+10.3%Added–
iShares Tr464289420RUS TP200 VL ETF346,962$28.2M0.7%+346,962New–
SPDR Series Trust78464A664ST LON TREAS ETF891,373$25.9M0.6%+214,201+31.6%Added–
METAMeta Platforms, Inc.Stock44,272$25.3M0.6%−2,438−5.2%ReducedHistory
iShares S&P 500 Value ETF464287408ETF127,004$25.0M0.6%+7,554+6.3%Added–
Vanguard Morningstar Value ETF922908744ETF142,304$24.8M0.6%+24,849+21.2%Added–
GOOGLAlphabet Inc.Stock147,853$24.5M0.6%+10,646+7.8%AddedHistory
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG211,407$23.9M0.6%+11,212+5.6%Added–
Vanguard Long-Term Treasury ETF92206C847ETF373,185$23.0M0.6%+5,856+1.6%Added–
iShares Core High Dividend ETF46429B663ETF192,255$22.6M0.5%+168,388+705.5%Added–
Vanguard Total Bond Market ETF921937835ETF283,355$21.3M0.5%+21,032+8.0%Added–
Invesco QQQ Trust Series I46090E103ETF42,708$20.8M0.5%+890+2.1%Added–
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM335,113$19.9M0.5%+74,603+28.6%Added–
Schwab U.S. Large-Cap Growth ETF808524300ETF190,177$19.8M0.5%+16,016+9.2%Added–
Principal Exchange Traded FD74255Y201QUALITY ETF272,169$19.4M0.5%+9,620+3.7%Added–
Vanguard Ftse Developed Markets ETF921943858ETF364,228$19.2M0.5%+23,608+6.9%Added–
Global X FDS37954Y483NASDAQ 100 COVER1,052,009$19.0M0.5%+23,989+2.3%Added–
iShares Core S&P U.S. Growth ETF464287671ETF137,931$18.2M0.4%+2,492+1.8%Added–
BRK.BBerkshire Hathaway IncStock39,519$18.2M0.4%+1,495+3.9%AddedHistory
VVisa Inc.Stock65,300$18.0M0.4%+5,787+9.7%AddedHistory
Global X FDS37954Y475S&P 500 COVERED408,501$17.0M0.4%+11,755+3.0%Added–
GOOGAlphabet Inc.Stock99,755$16.7M0.4%+4,120+4.3%AddedHistory
JPMJPMorgan Chase & CoStock73,045$15.4M0.4%+5,685+8.4%AddedHistory
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM1,035,884$15.2M0.4%+29,118+2.9%AddedHistory
iShares Tr46435G334MSCI UK ETF NEW399,740$15.0M0.4%+19,877+5.2%Added–
Principal Exchange Traded FD74255Y102ACTIVE HIGH YL731,823$14.3M0.3%+345,511+89.4%Added–
UNHUnitedHealth Group IncStock23,726$13.9M0.3%+1,933+8.9%AddedHistory
MAMastercard IncStock27,701$13.7M0.3%+1,185+4.5%AddedHistory
Vanguard Communication Services ETF92204A884ETF93,403$13.6M0.3%+7,183+8.3%Added–
iShares Tr464288513IBOXX HI YD ETF168,860$13.6M0.3%+47,430+39.1%Added–
iShares Tr46432F370MSCI USA SZE FT90,770$13.5M0.3%+1,804+2.0%Added–
LLYEli Lilly & CoStock15,189$13.5M0.3%+1,027+7.3%AddedHistory
iShares Tr46434V456MSCI INTL QUALTY314,888$13.1M0.3%+5,805+1.9%Added–
Goldman Sachs ETF Tr381430479ACCESS INVT GR273,406$12.9M0.3%+1,233+0.5%Added–
Vanguard Index FDS922908652EXTEND MKT ETF71,017$12.9M0.3%−1,914−2.6%Reduced–
PCNPIMCO Corporate & Income Strategy FundCOM900,769$12.8M0.3%+79,059+9.6%AddedHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR73,117$12.7M0.3%+5,258+7.7%AddedHistory
Trust for Professional Manag89834G729ACTIVEPASSIVE US355,666$12.5M0.3%+179,897+102.3%Added–
Pacer US Cash Cows 100 ETF69374H881ETF206,271$11.9M0.3%−9,253−4.3%Reduced–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF142,232$11.9M0.3%−4,757−3.2%Reduced–
Vanguard Financials ETF92204A405ETF106,172$11.7M0.3%+4,833+4.8%Added–
Vanguard Ftse All-World Ex-US Small-Cap ETF922042718ETF92,036$11.6M0.3%+10,289+12.6%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF337,877$11.4M0.3%+149,659+79.5%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF43,032$11.4M0.3%+275+0.6%Added–
Invesco S&P 500 Quality ETF46137V241ETF168,376$11.3M0.3%−1,583−0.9%Reduced–
AVGOBroadcom Inc.Stock64,712$11.2M0.3%+18,532+40.1%AddedConverted for a 10-for-1 splitHistory
Vanguard Health Care ETF92204A504ETF39,461$11.1M0.3%−268−0.7%Reduced–
BKNGBooking Holdings Inc.Stock2,623$11.1M0.3%+99+3.9%AddedHistory
iShares Tr464288588MBS ETF113,795$10.9M0.3%+29,902+35.6%Added–
iShares Tr46434V613CORE UNIVRSL USD230,988$10.9M0.3%+44,888+24.1%Added–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD135,939$10.8M0.3%+122+0.1%Added–
Schwab Fundamental Emerging Markets Equity ETF808524730ETF333,500$10.8M0.3%+28,943+9.5%Added–
TSLATesla, Inc.Stock40,851$10.7M0.3%−1,405−3.3%ReducedHistory
iShares U S ETF Tr46431W598BLOOMBERG ROLL211,557$10.5M0.3%+14,990+7.6%Added–
SPYSPDR S&P 500 ETF TrustETF18,145$10.4M0.3%−705−3.7%ReducedHistory
iShares Core S&P Mid-Cap ETF464287507ETF165,421$10.3M0.2%+72,579+78.2%Added–
Vanguard Morningstar Small-Cap ETF922908751ETF43,173$10.2M0.2%+19,454+82.0%Added–
XOMExxonMobil Holdings CorpCOM86,242$10.1M0.2%+9,385+12.2%AddedHistory
Vanguard Ftse Emerging Markets ETF922042858ETF206,459$9.88M0.2%+19,711+10.6%Added–
Schwab U.S. REIT ETF808524847ETF425,985$9.87M0.2%+339,026+389.9%Added–
Principal Exchange Traded FD74255Y763SPECTRUM PREFERR492,419$9.51M0.2%+491,627+62,074.1%Added–
Schwab US Dividend Equity ETF808524797ETF111,344$9.41M0.2%−9,226−7.7%Reduced–
Global X FDS37954Y293GLB X MLP ENRG I172,459$9.39M0.2%+5,549+3.3%Added–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF119,248$9.15M0.2%−11,861−9.0%Reduced–
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR178,214$8.94M0.2%+14,492+8.9%Added–
iShares Inc46434G822MSCI JAPAN ETF123,099$8.81M0.2%+122,707+31,302.8%Added–
iShares MSCI USA Min Vol Factor ETF46429B697ETF95,820$8.75M0.2%−20,190−17.4%Reduced–
Vanguard Consumer Staples ETF92204A207ETF38,832$8.48M0.2%+1,885+5.1%Added–
SCHWSchwab Charles CorpStock128,180$8.31M0.2%+5,798+4.7%AddedHistory
ELVElevance Health, Inc.Stock15,899$8.27M0.2%+2,369+17.5%AddedHistory
J P Morgan Exchange Traded F46641Q217BETABULDRS JAPAN137,748$8.17M0.2%−163,974−54.3%Reduced–
ADBEAdobe Inc.Stock15,652$8.10M0.2%+268+1.7%AddedHistory
iShares Inc464286806MSCI GERMANY ETF237,199$8.03M0.2%+13,044+5.8%Added–
ABBVAbbVie Inc.Stock40,442$7.99M0.2%+2,522+6.7%AddedHistory
Goldman Sachs ETF Tr381430206ACTIVEBETA EME227,140$7.97M0.2%+15,969+7.6%Added–

Sold out since Q2 2024 (146)

Positions held at the end of Q2 2024 that are gone from this filing.

The largest 100 of 146 by value last quarter.

Positions of Principal Securities, Inc. sold out since Q2 2024
SecurityClassShares in Q2 2024Value in Q2 2024% of portfolio in Q2 2024History
Innovator ETFs Tr45783Y483PREM INC 40 BARR157,617$3.77M0.1%–
Innovator ETFs Tr45783Y491PREMIUM INC 30 B144,935$3.47M0.1%–
Innovator ETFs Tr45783Y525PREM INC 20 BARR59,503$1.43M<0.1%–
AIFApollo Tactical Income Fund Inc.COM25,575$374.4K<0.1%History
HGLBHighland Global Allocation FundCOM46,238$348.2K<0.1%History
PAGSPagSeguro Digital Ltd.COM CL A26,752$312.7K<0.1%History
Principal Exchange-Traded FD74255Y409HELTHCARE INDX6,563$239.2K<0.1%–
iShares U S ETF Tr46431W614GOLD STRATEGY1,980$121.0K<0.1%–
PWSCPowerschool Holdings, Inc.COM CL A4,914$110.0K<0.1%History
HLHecla Mining CoCOM18,000$87.3K<0.1%History
New York Life Investments Et45409B800MERGE ARBIT ETF2,623$82.9K<0.1%–
BGTBlackRock Floating Rate Income TrustCOM6,383$81.4K<0.1%History
NMZNuveen Municipal High Income Opportunity FundCOM7,000$75.5K<0.1%History
AUAngloGold Ashanti PLCCOM SHS3,000$75.4K<0.1%History
WIREEncore Wire CorpCOM220$63.8K<0.1%History
Liberty Media Corp531229789Stock2,696$59.7K<0.1%–
PIMCO ETF Tr72201R2051-5 US TIP IDX917$47.4K<0.1%–
MMUWestern Asset Managed Municipals Fund Inc.COM4,247$44.0K<0.1%History
First Tr Exchange-Traded FD33738D846FT VEST DJIA1,927$38.1K<0.1%–
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT1,463$32.6K<0.1%History
TLSTelos CorpCOM7,819$31.4K<0.1%History
iShares Tr46435G250HIGH YLD SYSTM B663$30.8K<0.1%–
PMFPIMCO Municipal Income FundCOM3,354$30.8K<0.1%History
WisdomTree Bloomberg US Dollar Bullish Fund97717W471ETF925$25.1K<0.1%–
FHIFederated Hermes, Inc.CL B760$25.0K<0.1%History
iShares Inc464286285JP MRGN EM HI BD662$24.5K<0.1%–
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF289$24.4K<0.1%–
PLABPhotronics IncCOM969$23.9K<0.1%History
BlackRock ETF Trust II092528108SHOR DURA HI ETF1,000$22.6K<0.1%–
First Tr Exchng Traded FD VI33740U695FT VEST U.S EQT600$20.5K<0.1%–
WRKWestRock CoCOM392$19.7K<0.1%History
VanEck Vectors ETF Tr92189H870ENERGY INCOME246$19.6K<0.1%–
LTHLife Time Group Holdings, Inc.COMMON STOCK867$16.3K<0.1%History
Invesco Exchange Traded FD T46137V431S&P 500 GARP ETF157$16.1K<0.1%–
PCRXPacira BioSciences, Inc.COM503$14.4K<0.1%History
PETQPetIQ, Inc.COM CL A600$13.2K<0.1%History
Flagstar Bank, National Association649445103COM3,850$12.4K<0.1%–
BLBDBlue Bird CorpCOM230$12.4K<0.1%History
PSNParsons CorpCOM138$11.3K<0.1%History
Pacer FDS Tr69374H667US CHS CWS GWT260$11.0K<0.1%–
VanEck Vectors ETF Tr92189F205STEEL ETF150$9.99K<0.1%–
VSHVishay Intertechnology IncCOM427$9.52K<0.1%History
DOCNDigitalOcean Holdings, Inc.COM266$9.24K<0.1%History
AVAVAeroVironment IncCOM50$9.11K<0.1%History
Global X FDS37954Y624AUTONMOUS EV ETF350$8.22K<0.1%–
BXMXNuveen S&P 500 BuyWrite Income FundCOM598$8.07K<0.1%History
CALCaleres IncCOM219$7.36K<0.1%History
RDNTRadNet, Inc.COM124$7.31K<0.1%History
FLNGFlex LNG Ltd.SHS230$6.22K<0.1%History
ALABAstera Labs, Inc.Stock100$6.05K<0.1%History
HEESH&E Equipment Services, Inc.COM132$5.83K<0.1%History
FRMEFirst Merchants CorpCOM168$5.59K<0.1%History
MFDMacquarie/First Trust Global Infrastr/Util Div & Inc FundCOM715$5.34K<0.1%History
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD199$5.25K<0.1%–
CPACopa Holdings, S.A.CL A52$4.95K<0.1%History
SPXCSPX Technologies, Inc.COM33$4.69K<0.1%History
SPDR Series Trust78468R804ST STR R1K LOWV30$4.58K<0.1%–
WKCWorld Kinect CorpCOM171$4.41K<0.1%History
SIRISirius XM Holdings Inc.COM1,497$4.24K<0.1%History
Invesco Exchange Traded FD T46137V852DORSEY WRIGHT HE87$3.74K<0.1%–
CLNEClean Energy Fuels Corp.COM1,400$3.74K<0.1%History
PFDFlaherty & Crumrine Preferred & Income Fund IncCOM332$3.47K<0.1%History
ORNOrion Group Holdings IncCOM360$3.42K<0.1%History
Amplify ETF Tr032108631AMPLIFY ALTERNAT1,000$3.32K<0.1%–
CENTACentral Garden & Pet CoCL A NON-VTG100$3.30K<0.1%History
BLMNBloomin' Brands, Inc.COM159$3.06K<0.1%History
First Tr Exchng Traded FD VI33740F375FT CBOE EQU BUFF100$3.06K<0.1%–
TPLTexas Pacific Land CorpStock4$2.94K<0.1%History
JQCNuveen Credit Strategies Income FundCOM SHS519$2.88K<0.1%History
ENVXEnovix CorpCOM181$2.80K<0.1%History
VALValaris LtdCL A36$2.68K<0.1%History
LFSTLifeStance Health Group, Inc.COM544$2.67K<0.1%History
JAMFJamf Holding Corp.COM154$2.54K<0.1%History
TNKTeekay Tankers Ltd.CL A33$2.27K<0.1%History
GTNGray Media, IncCOM435$2.26K<0.1%History
ATRIAtrion CorpCOM5$2.26K<0.1%History
CNRCore Natural Resources, Inc.COM22$2.25K<0.1%History
Atlantica Sustainable Infr PG0751N103SHS100$2.19K<0.1%–
LINDLindblad Expeditions Holdings, Inc.Stock223$2.15K<0.1%History
ESNTEssent Group Ltd.COM35$1.97K<0.1%History
Invesco Exch Traded FD Tr II46138G615INVESCO PHLX SM44$1.90K<0.1%–
IMVTImmunovant, Inc.COM70$1.85K<0.1%History
RIGLRigel Pharmaceuticals IncCOM211$1.73K<0.1%History
Liberty Media Corp531229813Stock77$1.71K<0.1%–
STNGScorpio Tankers Inc.SHS20$1.63K<0.1%History
FLYWFlywire CorpCOM VTG99$1.62K<0.1%History
JRSNuveen Real Estate Income FundCOM200$1.53K<0.1%History
NUSNu Skin Enterprises, Inc.CL A143$1.51K<0.1%History
TTECTTEC Holdings, Inc.COM209$1.23K<0.1%History
iShares Tr46434V886HDG MSCI JAPAN28$1.22K<0.1%–
Sunpower Corp867652406COM406$1.20K<0.1%–
CANETeucrium Commodity TrustSUGAR FD94$1.15K<0.1%History
Global X FDS37954Y392VDEO GAM ESPRT50$1.07K<0.1%–
IOVAIovance Biotherapeutics, Inc.COM127$1.02K<0.1%History
VanEck Digital Native Economy ETF92189F882ETF25$1.01K<0.1%–
CBRLCracker Barrel Old Country Store, IncCOM23$970<0.1%History
NVRONevro CorpCOM112$943<0.1%History
ZIPZiprecruiter, Inc.CL A96$873<0.1%History
OCSLOaktree Specialty Lending CorpCOM45$846<0.1%History
SFLSFL Corp Ltd.SHS52$722<0.1%History