Career
Douglas Rants has been Chief Information Security Officer of Principal Securities since December 2019. Douglas Rants is a control person of the firm and directly owns under 5% of it.
Principal Securities, Inc. is a Des Moines, IA firm with $17B under management, 51,941 clients and 1,464 advisers across 359 offices, as of its March 2026 filing.
No adviser firm registrations are on Douglas Rants’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 25 September 2019 |
| SIE | Securities Industry Essentials Examination | 28 August 2019 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
Individual record
- Full name
- Douglas John Rants
- CRD
- 7148529
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Douglas Rants work?
Douglas Rants has been Chief Information Security Officer of Principal Securities, Inc. since December 2019, and is a control person of the firm.
Does Douglas Rants have a current investment-adviser registration?
Douglas Rants has a current broker registration and no current investment-adviser registration.
What exams has Douglas Rants passed?
Douglas Rants has passed 2 licensing exams: the SIE and Series 99TO. The earliest, the SIE, was passed in August 2019.
Leadership at Principal Securities
- Michael MurrayPresident/Chief Executive Officer/Chair
- Craig SpadaforaSenior Vice President
- Dawn RobertsChief Financial Officer
- Thomas DroganChief Compliance Officer
- Vivek AgrawalDirector
- Chad Thomas ClaireChief Information Officer
- Amy Christine FriedrichDirector
- Cody LawlerHead of Supervision, Head of Operations
- Kenneth Allen MccullumDirector
- Nathan Paul SchelhaasDirector
- Daniel VanWinklePsi Aml Officer