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

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

Jul 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

May 8, 2018

First registration

Feb 8, 2021

Dual registered

yes, broker-dealer

Other names

MICHAEL ALEXANDER RIVERA|Michael Rivera

IAPD individual key

6913667

• Occurred

  Aug 1, 2023
  Advisor changed firm

  Michael Alexander Rivera left Pruco Securities, Llc for Principal Securities, Inc. (registered 2023-08-17)

  Form ADVobserved 5 days ago
• Occurred

  Mar 29, 2023
  Advisor changed firm

  Michael Alexander Rivera left Principal Securities, Inc. for Pruco Securities, Llc (registered 2023-07-24)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2ef106bc-0567-fcd7-7c06-e33ce07ee176

First observed

Feb 8, 2021

Last observed

Sep 14, 2026 6 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.