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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

CHRISTIAN Joseph FAINO

Advisor at PRINCIPAL SECURITIES, INC.

Marlton, NJ

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Search this name across graphsid dfx:ria:2437c690-34cf-5b01-bf28-1d03a0ae468e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Nov 4, 2002 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: May 26, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: May 26, 1998
First registration: Nov 4, 2002
Dual registered: yes, broker-dealer
Other names: CHRISTIAN JOSEPH FAINO|CHRISTIAN FAINO
IAPD individual key: 3052045

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	Aug 18, 2026	n/a	yes	Marlton, NJ	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Apr 13, 2026	Aug 26, 2026	no	Cherry Hill Township, NJ\|CHERRY HILL TOWNSHIP, NJ\|FORT MILL, SC	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Apr 24, 2026	no	MARLTON, NJ\|MEDFORD, NJ\|MEDFORD, NJ\|MARLTON, NJ\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 9, 2020	Mar 31, 2025	no	MEDFORD, NJ	Previous registration
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	Asset manager	Apr 20, 2020	Jun 2, 2020	no	PHILADELPHIA, PA	Previous registration
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Former SEC adviser	Jul 5, 2012	Apr 20, 2020	no	PHILADELPHIA, PA	Previous registration
BLACKROCK INVESTMENT MANAGEMENT, LLC	Asset manager	Mar 6, 2007	Dec 7, 2011	no	PRINCETON, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Dec 16, 2004	Mar 4, 2005	no	GLENDORA, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2003	Aug 20, 2003	no	BALA CYNWYD, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 4, 2002	Apr 30, 2003	no	PENNINGTON, NJ	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
LPL ENTERPRISE, LLC	PRINCIPAL SECURITIES, INC.	Aug 26, 2026	Aug 18, 2026	-8	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	LPL ENTERPRISE, LLC	Apr 24, 2026	Apr 13, 2026	-11	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jun 2, 2020	Jul 9, 2020	37	Firm change	Other
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	Apr 20, 2020	Apr 20, 2020	0	Bulk transfer	Other
BLACKROCK INVESTMENT MANAGEMENT, LLC	DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Dec 7, 2011	Jul 5, 2012	211	Firm change	Other
PNC WEALTH MANAGEMENT	BLACKROCK INVESTMENT MANAGEMENT, LLC	Mar 4, 2005	Mar 6, 2007	732	Firm change after gap	Other
WELLS FARGO ADVISORS	PNC WEALTH MANAGEMENT	Aug 20, 2003	Dec 16, 2004	484	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Apr 30, 2003	May 13, 2003	13	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8733:1137:NJ:2026-08-26	Aug 26, 2026	Aug 18, 2026	CHERRY HILL TOWNSHIP, NJ	Firm change
104555:8733:MA:2026-04-10	Apr 24, 2026	Apr 13, 2026	BOSTON, MA	Firm change

Relationships

Registered with (10)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Aug 18, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Apr 13, 2026 to Aug 26, 2026factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Apr 24, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 9, 2020 to Mar 31, 2025factForm ADV
→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserregistration: previous registration
Apr 20, 2020 to Jun 2, 2020factForm ADV
→ DELAWARE CAPITAL MANAGEMENT ADVISERS, INCRegistered adviserregistration: previous registration
Jul 5, 2012 to Apr 20, 2020factForm ADV
→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 6, 2007 to Dec 7, 2011factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 16, 2004 to Mar 4, 2005factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2003 to Aug 20, 2003factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 4, 2002 to Apr 30, 2003factForm ADV

Dated events

Occurred
Aug 26, 2026
Advisor changed firm
Christian Joseph Faino left Lpl Enterprise, Llc for Principal Securities, Inc. (registered 2026-08-18)
Form ADVobserved 5 days ago
Occurred
Apr 24, 2026
Advisor changed firm
Christian Joseph Faino left Strategic Advisers Llc for Lpl Enterprise, Llc (registered 2026-04-13)
Form ADVobserved 5 days ago