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

WELLS FARGO ADVISORS

Current firm class

wirehousederived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 1, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Aug 12, 2008

First registration

Sep 26, 2011

Dual registered

yes, broker-dealer

IAPD individual key

5550020

• Occurred

  Dec 7, 2022
  Advisor changed firm

  James Panowicz left Principal Securities, Inc. for Wells Fargo Advisors (registered 2022-12-07)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1381da4b-d7fe-3833-8d3d-05be515eab92

First observed

Sep 26, 2011

Last observed

Sep 14, 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.