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

Erik William Gorenflo

Advisor at PRINCIPAL SECURITIES, INC.

Williamsville, NY | DES MOINES, IA

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Search this name across graphsid dfx:ria:2b1546b6-fd6c-9905-9919-903ea76ab152

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jul 10, 2018 to Sep 15, 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: Sep 1, 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: Jun 28, 2018
First registration: Jul 10, 2018
Dual registered: yes, broker-dealer
Other names: Erik William Gorenflo|Erik Gorenflo
IAPD individual key: 6608505

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	Jun 26, 2024	n/a	yes	Williamsville, NY\|DES MOINES, IA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	May 6, 2022	May 31, 2024	no	BUFFALO, NY	Previous registration
LAWLEY RETIREMENT ADVISORS	Institutional manager	Jul 22, 2021	May 29, 2024	no	BUFFALO, NY	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Apr 30, 2021	May 10, 2022	no	BUFFALO, NY	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jul 10, 2018	Apr 1, 2021	no	Syracuse, NY	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
OSAIC WEALTH, INC.	PRINCIPAL SECURITIES, INC.	May 31, 2024	Jun 26, 2024	26	Firm change	Ibd to ibd
LAWLEY RETIREMENT ADVISORS	OSAIC WEALTH, INC.	May 29, 2024	May 6, 2022	-754	Firm change after gap	Other
CADARET GRANT & CO INC	LAWLEY RETIREMENT ADVISORS	May 10, 2022	Jul 22, 2021	-292	Firm change after gap	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	CADARET GRANT & CO INC	Apr 1, 2021	Apr 30, 2021	29	Firm change	Ibd to ibd

Team moves

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

Team	Left	Joined	From	Kind
10641:282786:NY:2022-05-10	May 10, 2022	Jul 22, 2021	BUFFALO, NY	Firm change after gap

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jun 26, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
May 6, 2022 to May 31, 2024factForm ADV
→ LAWLEY RETIREMENT ADVISORSRegistered adviserregistration: previous registration
Jul 22, 2021 to May 29, 2024factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Apr 30, 2021 to May 10, 2022factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 10, 2018 to Apr 1, 2021factForm ADV

Dated events

Occurred
May 31, 2024
Advisor changed firm
Erik William Gorenflo left Osaic Wealth, Inc. for Principal Securities, Inc. (registered 2024-06-26)
Form ADVobserved 5 days ago
Occurred
May 29, 2024
Advisor changed firm
Erik William Gorenflo left Lawley Retirement Advisors for Osaic Wealth, Inc. (registered 2022-05-06)
Form ADVobserved 5 days ago
Occurred
May 10, 2022
Advisor changed firm
Erik William Gorenflo left Cadaret Grant & Co Inc for Lawley Retirement Advisors (registered 2021-07-22)
Form ADVobserved 5 days ago