Adviser and broker representative · Principal Securities, Inc.
Chuong Q. Thi
CRD 5401733 · Des Moines, IA
At a glance
Chuong Q. Thi is an investment adviser representative with Principal Securities, Inc. in Des Moines, IA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Chuong’s SEC record dates to 2019, about 7 years ago. Chuong is also registered as a broker representative.
Current advisory firm
- Principal Securities, Inc.Since May 2019Des Moines, IA · $17B in regulatory assets
SEC adviser record
- Registered since
- 2019 (7 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Chuong’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.