Rajpreet S Sangha
Investment Adviser Representative at Principal Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Rajpreet S. Sangha is an investment adviser representative with Principal Securities, Inc. in Tracy, CA, where they have been registered since 2023. They have worked in the securities industry since 2015 and were previously registered with Missionsquare Retirement. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
2 states and territories
California, Nevada
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- University of the PacificAug 2017 – Aug 2018Stockton, CA
- Wells Fargo AdvisorsJun 2012 – Aug 2017Modesto, CA
- Icma-rcSep 2018 – Sep 2023Washington, DC
- Principal LIFE InsuranceSep 2023 – no end date reportedDowners Grove, IL
- Principal SecuritiesSep 2023 – no end date reportedTurlock, CA
- Principal Bank and Principal Trust CompanySep 2023 – no end date reportedTurlock, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Principal Securities, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,635
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Des Moines, IA
- SEC file number:
- 801-54949
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Principal Securities, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Rajpreet S Sangha has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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