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Thomas Drogan

Chief Compliance Officer at Principal Securities

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Thomas Drogan is Chief Compliance Officer of Principal Securities, Inc., a Des Moines investment adviser managing $17B. Thomas Drogan has a current broker registration and no current investment-adviser registration and has passed the Series 14 and Series 99TO.

Role at Principal Securities

Title on Schedule A
Chief Compliance Officer
Control
Thomas Drogan is a control person of Principal Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Drogan 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

Firms and exams, newest first
  1. Passed Series 14 and Series 99TO · 2024

Registrations and exams

Broker registration; no current adviser registration. Thomas Drogan has passed 2 qualifying exams.

Examinations

Series 1415 April 2024
Name
Compliance Officer Examination
Series 99TO15 April 2024
Name
Operations Professional Examination

Individual record

Full name
Thomas John Drogan
CRD
2760482
Firm
Principal Securities, Inc.
Registration status
Broker registration; no current adviser registration

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 Thomas Drogan work?

Thomas Drogan has been Chief Compliance Officer of Principal Securities, Inc. since May 2024, and is a control person of the firm.

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

Does Thomas Drogan have a current investment-adviser registration?

Thomas Drogan has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Thomas Drogan passed?

Thomas Drogan has passed 2 licensing exams: the Series 14 and Series 99TO. The earliest, the Series 14, was passed in April 2024.

Source: IAPD individual record, checked 17 October 2026

Leadership at Principal Securities

Sources

  1. IAPD individual record, CRD 2760482. 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.

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