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Advisor at PRINCIPAL SECURITIES, INC.
OVERLAND PARK, KS
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 |
|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Sep 24, 2024 | n/a | yes | OVERLAND PARK, KS | Current employment |
| FSC SECURITIES CORPORATION | Former SEC adviser | Apr 30, 2012 | Dec 31, 2022 | no | MILTON, GA|LEAWOOD, KS | Previous registration |
| BROOKSTONE INVESTMENT ADVISORY SERVICES | Former SEC adviser | Feb 15, 2012 | Apr 26, 2012 | no | LEAWOOD, KS|OVERLAND PARK, KS | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | May 2, 2008 | Feb 16, 2012 | no | OVERLAND PARK, KS | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FSC SECURITIES CORPORATION | PRINCIPAL SECURITIES, INC. | Dec 31, 2022 | Sep 24, 2024 | 633 | Firm change after gap | Ibd to ibd |
| BROOKSTONE INVESTMENT ADVISORY SERVICES | FSC SECURITIES CORPORATION | Apr 26, 2012 | Apr 30, 2012 | 4 | Firm change | Other |
| EQUITABLE ADVISORS, LLC | BROOKSTONE INVESTMENT ADVISORY SERVICES | Feb 16, 2012 | Feb 15, 2012 | -1 | Firm change | Other |