DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

MATTHEW THOMAS UNO

Advisor at PRINCIPAL SECURITIES, INC.

Roseville, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:20551334-7a59-3522-4dff-1193eef56a86

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 8, 2013 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Feb 20, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 20, 2013
First registration: Apr 8, 2013
Dual registered: yes, broker-dealer
Other names: MATTHEW T UNO|Matt Uno
IAPD individual key: 6137515

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Apr 2, 2024	n/a	yes	Roseville, CA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Jun 2, 2021	Mar 19, 2024	no	SAN JOSE, CA\|ROSEVILLE, CA	Previous registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Independent wealth	Sep 20, 2016	May 12, 2021	no	Pleasant Hill, CA\|Sacramento, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Feb 9, 2015	Apr 1, 2016	no	SACRAMENTO, CA	Previous registration
EDWARD JONES	National bd RIA	Apr 8, 2013	Sep 19, 2014	no	WOODLAND, CA\|DIXON, CA\|ST LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	PRINCIPAL SECURITIES, INC.	Mar 19, 2024	Apr 2, 2024	14	Firm change	Ibd to ibd
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	PRUCO SECURITIES, LLC	May 12, 2021	Jun 2, 2021	21	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Apr 1, 2016	Sep 20, 2016	172	Firm change	Other
EDWARD JONES	MSI FINANCIAL SERVICES, INC.	Sep 19, 2014	Feb 9, 2015	143	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Apr 2, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 2, 2021 to Mar 19, 2024factForm ADV
→ MUTUAL OF OMAHA INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Sep 20, 2016 to May 12, 2021factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 9, 2015 to Apr 1, 2016factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 8, 2013 to Sep 19, 2014factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
Matthew Thomas Uno left Pruco Securities, Llc for Principal Securities, Inc. (registered 2024-04-02)
Form ADVobserved 6 days ago