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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

JONATHAN DANIEL WAKIN

Advisor at PRINCIPAL SECURITIES, INC.

Raleigh, NC

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Search this name across graphsid dfx:ria:0624355a-65db-a3d0-266d-4401bed1af9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 3, 2015 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRINCIPAL SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 20, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 20, 2014
First registration: Oct 3, 2015
Dual registered: yes, broker-dealer
Other names: J DANIEL WAKIN|DANIEL WAKIN
IAPD individual key: 5932705

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 14, 2026	n/a	yes	Raleigh, NC	Current employment
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Oct 14, 2021	Jan 20, 2026	no	RALEIGH, NC\|Durham, NC	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Dec 3, 2019	Mar 16, 2021	no	RALEIGH, NC	Previous registration
EDWARD JONES	National bd RIA	Jul 14, 2017	Oct 2, 2019	no	RALEIGH, NC	Previous registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Oct 3, 2015	Apr 3, 2017	no	RALEIGH, NC\|RALEIGH, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST CITIZENS INVESTOR SERVICES, INC.	PRINCIPAL SECURITIES, INC.	Jan 20, 2026	Jan 14, 2026	-6	Firm change	Ibd to ibd
PARK AVENUE SECURITIES LLC	FIRST CITIZENS INVESTOR SERVICES, INC.	Mar 16, 2021	Oct 14, 2021	212	Firm change	Ibd to ibd
EDWARD JONES	PARK AVENUE SECURITIES LLC	Oct 2, 2019	Dec 3, 2019	62	Firm change	Ibd to ibd
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	EDWARD JONES	Apr 3, 2017	Jul 14, 2017	102	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jan 14, 2026 to presentfactForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 14, 2021 to Jan 20, 2026factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Dec 3, 2019 to Mar 16, 2021factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 14, 2017 to Oct 2, 2019factForm ADV
→ CAPITAL INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Oct 3, 2015 to Apr 3, 2017factForm ADV

Dated events

Occurred
Jan 20, 2026
Advisor changed firm
Jonathan Daniel Wakin left First Citizens Investor Services, Inc. for Principal Securities, Inc. (registered 2026-01-14)
Form ADVobserved 5 days ago