DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at PRINCIPAL SECURITIES, INC.
ELKHORN, NE | Lincoln, NE
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 | Jul 13, 2023 | n/a | yes | ELKHORN, NE|Lincoln, NE | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 2, 2018 | Apr 9, 2019 | no | TACOMA, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | PRINCIPAL SECURITIES, INC. | Apr 9, 2019 | Jul 13, 2023 | 1,556 | Firm change after gap | Wirehouse to ibd |