Lucas Peter Kozlowski

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Contact Information

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Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

2 years registered in the securities industry

Current & Past Employments

Current

PRINCIPAL SECURITIES, INC.Current·CRD# 1137

RIA

BD

711 High St, Des Moines, IA 50392

September 13, 2024 - Present

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Current Firm

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

711 High Street, Des Moines, IA 50392

Mailing Address

Principal Financial Group 711 High Street, Des Moines, IA 50392-2080

Phone Number

(888) 774-6267

Established

Iowa since 05/01/1968

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

1,464

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (3/30/2026)

RETIREMENT PLAN CONSULTING (3/30/2026)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (3/30/2026)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (3/30/2026)

Direct owners and executive officers

Name	Position	CRD#
PRINCIPAL FINANCIAL SERVICES, INC.	OWNER	—
AGRAWAL, VIVEK	DIRECTOR	8050381
CLAIRE, CHAD THOMAS	CHIEF INFORMATION OFFICER	7219218
DROGAN, THOMAS JOHN	CHIEF COMPLIANCE OFFICER	2760482
FRIEDRICH, AMY CHRISTINE	DIRECTOR	7097797
LAWLER, CODY ANTHONY	HEAD OF SUPERVISION, HEAD OF OPERATIONS	5162072
MCCULLUM, KENNETH ALLEN	DIRECTOR	4695257
MURRAY, MICHAEL FRANCIS	PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR	2074275
RANTS, DOUGLAS JOHN	CHIEF INFORMATION SECURITY OFFICER	7148529
ROBERTS, DAWN MARIE	CHIEF FINANCIAL OFFICER	7929617
SCHELHAAS, NATHAN PAUL	DIRECTOR	7275495
SPADAFORA, CRAIG ALAN	SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM	3184320
VANWINKLE, DANIEL SIMON	PSI AML OFFICER	4715191

Regulatory Assets Under Management

Total Number of Accounts

68,981

AUM (Assets Under Management)

$17,024,265,096

Disclosures

Regulatory Event

9

Arbitration

3

Bond

3

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2026	Cover Page	Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(10/17/2024)

RR

Alaska
(10/17/2024)

RR

Arizona
(10/17/2024)

RR

Arkansas
(10/17/2024)

RR

California
(10/17/2024)

RR

Colorado
(10/17/2024)

RR

Connecticut
(10/17/2024)

RR

Delaware
(10/17/2024)

RR

District of Columbia
(10/17/2024)

RR

Florida
(10/17/2024)

RR

Georgia
(10/17/2024)

RR

Hawaii
(10/17/2024)

RR

Idaho
(10/17/2024)

RR

Illinois
(10/14/2024)

RR

Indiana
(10/17/2024)

RR

Iowa
(10/14/2024)

RR

Kansas
(10/17/2024)

RR

Kentucky
(10/17/2024)

RR

Louisiana
(10/17/2024)

RR

Maine
(10/17/2024)

RR

Maryland
(10/17/2024)

RR

Massachusetts
(10/17/2024)

RR

Michigan
(10/17/2024)

RR

Minnesota
(10/17/2024)

RR

Mississippi
(10/17/2024)

RR

Missouri
(10/17/2024)

RR

Montana
(10/17/2024)

RR

Nebraska
(10/17/2024)

RR

Nevada
(10/17/2024)

RR

New Hampshire
(10/17/2024)

RR

New Jersey
(10/17/2024)

RR

New Mexico
(10/17/2024)

RR

New York
(10/17/2024)

RR

North Carolina
(10/17/2024)

RR

North Dakota
(10/17/2024)

RR

Ohio
(10/17/2024)

RR

Oklahoma
(10/17/2024)

RR

Oregon
(10/17/2024)

RR

Pennsylvania
(10/17/2024)

RR

Rhode Island
(10/17/2024)

RR

South Carolina
(10/17/2024)

RR

South Dakota
(10/17/2024)

RR

Tennessee
(10/17/2024)

RR

Texas
(10/17/2024)

RR

Utah
(10/17/2024)

RR

Vermont
(10/17/2024)

RR

Virginia
(10/17/2024)

RR

Washington
(10/17/2024)

RR

West Virginia
(10/17/2024)

RR

Wisconsin
(10/17/2024)

RR

Wyoming
(10/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.