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Advisor at RIA ADVISORY GROUP, LLC
Piedmont, SD | DES MOINES, IA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| RIA ADVISORY GROUP, LLC | Independent wealth | Aug 6, 2020 | n/a | yes | DES MOINES, IA|Piedmont, SD | Current employment |
| BALEFIRE, LLC | Independent wealth | Dec 19, 2017 | Aug 11, 2020 | no | Piedmont, SD | Previous registration |
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Jun 10, 2009 | Dec 14, 2017 | no | PIEDMONT, SD|RAPID CITY, SD|SIOUX FALLS, SD | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Jun 3, 2008 | Jun 1, 2009 | no | RAPID CITY, SD|WALL, SD | Previous registration |
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Apr 15, 2008 | Jun 2, 2008 | no | RAPID CITY, SD|CUSTER, SD|EDGEMONT, SD|HILL CITY, SD|HOT SPRINGS, SD|NEW UNDERWOOD, SD|RAPID CITY, SD|RAPID CITY, SD|WALL, SD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BALEFIRE, LLC | RIA ADVISORY GROUP, LLC | Aug 11, 2020 | Aug 6, 2020 | -5 | Firm change | RIA to RIA |
| PRINCIPAL SECURITIES, INC. | BALEFIRE, LLC | Dec 14, 2017 | Dec 19, 2017 | 5 | Firm change | Other |
| CETERA INVESTMENT SERVICES LLC | PRINCIPAL SECURITIES, INC. | Jun 1, 2009 | Jun 10, 2009 | 9 | Firm change | Other |
| PRINCIPAL SECURITIES, INC. | CETERA INVESTMENT SERVICES LLC | Jun 2, 2008 | Jun 3, 2008 | 1 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 168733:152566:SD:2020-08-11 | Aug 11, 2020 | Aug 6, 2020 | PIEDMONT, SD | Firm change |
| 1137:168733:SD:2017-12-14 | Dec 14, 2017 | Dec 19, 2017 | SIOUX FALLS, SD | Firm change |