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

Nov 21, 2015earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S65|S66

First exam

Nov 21, 2015

First registration

Jan 13, 2016

Dual registered

yes, broker-dealer

Other names

FRANCIS DALIA|FRANCIS JOSEPH DALIA|FRANCIS JOSEPH D'ALIA|Francis J DAlia

IAPD individual key

5954274

• Occurred

  Feb 22, 2024
  Advisor changed firm

  Francis Joseph D'Alia left Dimensional Fund Advisors Lp for Principal Securities, Inc. (registered 2024-06-11)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:07489189-32c8-72ce-5c47-8ae34bce33ad

First observed

Jan 13, 2016

Last observed

Sep 15, 2026 6 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.