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.

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

Mar 19, 2005earliest registration or exam on IAPD

Years in industry

21derivedfrom the industry start date

Years at current firm

19derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S66

First exam

Mar 19, 2005

First registration

Jan 27, 2006

Dual registered

yes, broker-dealer

IAPD individual key

4892630

Graph

RIA / Wealth Management

Canonical id

dfx:ria:06fef2d7-6164-022e-e675-83f398448c78

First observed

Jan 27, 2006

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.