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Michael Murray

President/Chief Executive Officer/Chair at Principal Securities

Investment adviser and broker registrationsSEC record checked 17 October 2026

33
Years in the industry
8
Years at the firm
3
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Michael Murray is President/Chief Executive Officer/Chair of Principal Securities, Inc., a Des Moines investment adviser managing $17B. Michael Murray has been registered through Principal Securities since 8 August 2018, has 33 years in the industry across 3 firms and has passed 9 licensing exams.

Role at Principal Securities

Title on Schedule A
President/Chief Executive Officer/Chair
Control
Michael Murray is a control person of Principal Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Michael Murray has held the filed role since July 2018.

The firm

Principal Securities, Inc.
Des Moines, IA

Form ADV filed 30 March 2026

$17B AUM51,941 clients1,464 advisers26 offices

Career on record

Michael Murray has been registered through Principal Securities since August 2018, and before that through Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation.

Firms and exams, newest first
  1. Passed Series 52TO and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Principal Securities, Inc.Current
    – present · 8 years
    , · Adviser representative · Firm CRD 1137
  4. Principal Securities, Inc.Current
    – present · 8 years
    , · Adviser representative and broker · Firm CRD 1137
  5. Lincoln Financial Advisors Corporation
    – · 7 years
    Fort Wayne, IN · Adviser representative · Firm CRD 3978
  6. Lincoln Financial Securities Corporation
    – · 7 years
    Concord, NH · Adviser representative · Firm CRD 3870
  7. Passed Series 65 · 1999
  8. Passed Series 4 · 1998
  9. Passed Series 53 · 1995
  10. Passed Series 24 · 1991
  11. Passed Series 63 and Series 7 · 1990

Registrations and exams

Michael Murray has a current investment-adviser registration in New Hampshire and has passed 9 qualifying exams.

New Hampshire19 September 2023
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6523 December 1999
Name
Uniform Investment Adviser Law Examination
Series 6325 September 1990
Name
Uniform Securities Agent State Law Examination
Series 46 May 1998
Name
Registered Options Principal Examination
Series 531 June 1995
Name
Municipal Securities Principal Examination
Series 2418 June 1991
Name
General Securities Principal Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 715 October 1990
Name
General Securities Representative Examination

Individual record

Full name
Michael Francis Murray
CRD
2074275
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 Michael Murray work?

Michael Murray has been President/Chief Executive Officer/Chair of Principal Securities, Inc. since July 2018, and is a control person of the firm.

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

Is Michael Murray a financial advisor?

Yes. Michael Murray has a current investment-adviser registration in New Hampshire, through Principal Securities since August 2018, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Michael Murray have?

Michael Murray has worked in the financial industry for 33 years as of 17 October 2026, counted from 23 November 1992, across 3 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Michael Murray passed?

Michael Murray has passed 9 licensing exams: the Series 63, Series 7, Series 24, Series 53, Series 4, Series 65, SIE, Series 52TO and Series 99TO. The earliest, the Series 63, was passed in September 1990.

Source: IAPD individual record, checked 17 October 2026

Where did Michael Murray work before Principal Securities?

Before Principal Securities, Michael Murray was registered through Lincoln Financial Advisors Corporation, October 2009 to December 2016; Lincoln Financial Securities Corporation, September 2009 to February 2017.

Source: IAPD individual record, checked 17 October 2026

Leadership at Principal Securities

Sources

  1. IAPD individual record, CRD 2074275. 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 17 October 2026. The SEC record may have been amended since.

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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 Michael Murray or Principal Securities, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.