DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)15 years in industrynot currently registered

Joshua A Hutt

Advisor at PRINCIPAL SECURITIES, INC.

Plano, TX

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:37f8f0f2-8bde-4303-3e2f-b6d7ca6e741f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Nov 3, 2022 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: Apr 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 26, 2022
First registration: Nov 3, 2022
Dual registered: yes, broker-dealer
Other names: Joshua Hutt|Joshua Aaron Hutt
IAPD individual key: 7509462

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 4, 2025	n/a	yes	Plano, TX	Current employment
HORNOR, TOWNSEND & KENT, LLC	Independent wealth	Dec 18, 2024	Jun 5, 2025	no	DALLAS, TX\|DALLAS, TX\|Conshohocken, PA	Previous registration
STIRLINGSHIRE INVESTMENTS	Independent wealth	May 22, 2024	Nov 5, 2024	no	NEW YORK, NY\|Fate, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 2, 2023	Feb 9, 2024	no	Westlake, TX	Previous registration
ORION WEALTH MANAGEMENT LLC	State registered	Nov 3, 2022	Jul 25, 2023	no	RICHARDSON, TX	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
HORNOR, TOWNSEND & KENT, LLC	PRINCIPAL SECURITIES, INC.	Jun 5, 2025	Jun 4, 2025	-1	Firm change	Ibd to ibd
STIRLINGSHIRE INVESTMENTS	HORNOR, TOWNSEND & KENT, LLC	Nov 5, 2024	Dec 18, 2024	43	Firm change	RIA to ibd
CHARLES SCHWAB & CO., INC.	STIRLINGSHIRE INVESTMENTS	Feb 9, 2024	May 22, 2024	103	Firm change	Ibd to RIA
ORION WEALTH MANAGEMENT LLC	CHARLES SCHWAB & CO., INC.	Jul 25, 2023	May 2, 2023	-84	Firm change after gap	Other

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jun 4, 2025 to presentfactForm ADV
→ HORNOR, TOWNSEND & KENT, LLCRegistered adviserregistration: previous registration
Dec 18, 2024 to Jun 5, 2025factForm ADV
→ STIRLINGSHIRE INVESTMENTSRegistered adviserregistration: previous registration
May 22, 2024 to Nov 5, 2024factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 2, 2023 to Feb 9, 2024factForm ADV
→ ORION WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 3, 2022 to Jul 25, 2023factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 5, 2025
Advisor changed firm
Joshua A Hutt left Hornor, Townsend & Kent, Llc for Principal Securities, Inc. (registered 2025-06-04)
Form ADVobserved 5 days ago
Occurred
Nov 5, 2024
Advisor changed firm
Joshua A Hutt left Stirlingshire Investments for Hornor, Townsend & Kent, Llc (registered 2024-12-18)
Form ADVobserved 5 days ago
Occurred
Feb 9, 2024
Advisor changed firm
Joshua A Hutt left Charles Schwab & Co., Inc. for Stirlingshire Investments (registered 2024-05-22)
Form ADVobserved 5 days ago
Occurred
Jul 25, 2023
Advisor changed firm
Joshua A Hutt left Orion Wealth Management Llc for Charles Schwab & Co., Inc. (registered 2023-05-02)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 16, 2026
date not stated
Joshua A Hutt no longer holds an investment adviser registration (last listed at Principal Securities, Inc. on the 2026-09-15 feed)