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Advisor at PRINCIPAL SECURITIES, INC.
DOWNERS GROVE, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Mar 12, 2026 | n/a | yes | DOWNERS GROVE, IL | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Sep 16, 2021 | Jan 5, 2026 | no | CHICAGO, IL|ELMHURST, IL|CHICAGO, IL | Previous registration |
| THRIVENT ADVISOR NETWORK, LLC | Bd affiliated wealth | Aug 5, 2020 | Sep 2, 2020 | no | MINNEAPOLIS, MN|Orland Park, IL | Previous registration |
| THRIVENT INVESTMENT MANAGEMENT INC. | Bd affiliated wealth | Jul 2, 2020 | Aug 5, 2020 | no | DOWNERS GROVE, IL | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Jun 3, 2019 | Jun 17, 2020 | no | OAK PARK, IL | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Jul 6, 2016 | Feb 7, 2019 | no | Milwaukee, WI | Previous registration |
| MORGAN STANLEY | Wirehouse | Nov 22, 2013 | Jan 12, 2016 | no | Chicago, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | PRINCIPAL SECURITIES, INC. | Jan 5, 2026 | Mar 12, 2026 | 66 | Firm change | Wirehouse to ibd |
| THRIVENT ADVISOR NETWORK, LLC | WELLS FARGO ADVISORS | Sep 2, 2020 | Sep 16, 2021 | 379 | Firm change | Ibd to wirehouse |
| THRIVENT INVESTMENT MANAGEMENT INC. | THRIVENT ADVISOR NETWORK, LLC | Aug 5, 2020 | Aug 5, 2020 | 0 | Bulk transfer | Ibd to ibd |
| J.P. MORGAN SECURITIES LLC | THRIVENT INVESTMENT MANAGEMENT INC. | Jun 17, 2020 | Jul 2, 2020 | 15 | Firm change | Wirehouse to ibd |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | J.P. MORGAN SECURITIES LLC | Feb 7, 2019 | Jun 3, 2019 | 116 | Firm change | Other |
| MORGAN STANLEY | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Jan 12, 2016 | Jul 6, 2016 | 176 | Firm change | Other |