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Cody Lawler

Head of Supervision, Head of Operations at Principal Securities

Investment adviser and broker registrationsSEC record checked 18 October 2026

20
Years in the industry
17
Years at the firm
1
Adviser firms
2
State registrations

IAPD record retrieved 18 October 2026SEC record

Cody Lawler is Head of Supervision, Head of Operations of Principal Securities, Inc., a Des Moines investment adviser managing $17B. Cody Lawler has been registered through Principal Securities since 11 November 2008, has 20 years in the industry across 1 firm and has passed 10 licensing exams.

Role at Principal Securities

Title on Schedule A
Head of Supervision, Head of Operations
Control
Cody Lawler is a control person of Principal Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Cody Lawler has held the filed role since May 2024.

The firm

Principal Securities, Inc.
Des Moines, IA

Form ADV filed 30 March 2026

$17B AUM51,941 clients1,464 advisers26 offices

Career on record

Cody Lawler has been registered through Principal Securities since November 2008.

Firms and exams, newest first
  1. Passed Series 27 · 2024
  2. Passed Series 4, Series 52TO and Series 99TO · 2023
  3. Passed SIE · 2018
  4. Passed Series 53 · 2014
  5. Principal Securities, Inc.Current
    – present · 14 years
    , · Adviser representative · Firm CRD 1137
  6. Passed Series 66 · 2012
  7. Passed Series 24 · 2011
  8. Passed Series 7 · 2010
  9. Principal Securities, Inc.Current
    – present · 18 years
    Urbandale, IA · Adviser representative and broker · Firm CRD 1137
  10. Passed Series 6 · 2006

Registrations and exams

Cody Lawler has a current investment-adviser registration in Iowa and Texas and has passed 10 qualifying exams.

Iowa29 June 2012
Scope
Investment adviser representative
Status
Approved
Texas17 May 2024
Scope
Investment adviser representative
Status
Approved, resident

Examinations

Series 6627 June 2012
Name
Uniform Combined State Law Examination
Series 2730 May 2024
Name
Financial and Operations Principal Examination
Series 417 April 2023
Name
Registered Options Principal Examination
Series 533 March 2014
Name
Municipal Securities Principal Examination
Series 2428 February 2011
Name
General Securities Principal Examination
Series 52TO4 May 2023
Name
Municipal Securities Representative Examination
Series 99TO4 May 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 71 February 2010
Name
General Securities Representative Examination
Series 625 June 2006
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Cody Anthony Lawler
CRD
5162072
Firm
Principal Securities, Inc.
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Cody Lawler work?

Cody Lawler has been Head of Supervision, Head of Operations of Principal Securities, Inc. since May 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Is Cody Lawler a financial advisor?

Yes. Cody Lawler has a current investment-adviser registration in Iowa and Texas, through Principal Securities since November 2008, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Cody Lawler have?

Cody Lawler has worked in the financial industry for 20 years as of 18 October 2026, counted from 29 July 2006, across 1 adviser firm.

Source: IAPD individual record, checked 18 October 2026

What exams has Cody Lawler passed?

Cody Lawler has passed 10 licensing exams: the Series 6, Series 7, Series 24, Series 66, Series 53, SIE, Series 4, Series 52TO, Series 99TO and Series 27. The earliest, the Series 6, was passed in June 2006.

Source: IAPD individual record, checked 18 October 2026

Leadership at Principal Securities

Sources

  1. IAPD individual record, CRD 5162072. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Principal Securities, Inc., filed 30 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Cody Lawler or Principal Securities, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.