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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

DAVID A LOOKADOO

Advisor at PRINCIPAL SECURITIES, INC.

MEMPHIS, TN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2004 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: Oct 18, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 18, 2002
First registration: Mar 2, 2004
Dual registered: yes, broker-dealer
Other names: DAVID ALAN LOOKADOO|David Lookadoo
IAPD individual key: 4567298

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	May 15, 2017	n/a	yes	MEMPHIS, TN	Current employment
FIRST TENNESSEE ADVISORY SERVICES, INC.	Former SEC adviser	Jun 25, 2009	Oct 10, 2013	no	MEMPHIS, TN	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	May 6, 2009	Apr 18, 2017	no	MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Apr 5, 2006	Apr 30, 2009	no	MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN\|COLLIERVILLE, TN\|CORDOVA, TN\|ARLINGTON, TN\|GERMANTOWN, TN\|MEMPHIS, TN\|MEMPHIS, TN\|GERMANTOWN, TN\|GERMANTOWN, TN\|GERMANTOWN, TN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 2, 2004	Apr 4, 2006	no	MEMPHIS, TN	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
FIRST HORIZON ADVISORS, INC	FIRST TENNESSEE ADVISORY SERVICES, INC.	Apr 18, 2017	Jun 25, 2009	-2,854	Firm change after gap	Other
FIRST TENNESSEE ADVISORY SERVICES, INC.	PRINCIPAL SECURITIES, INC.	Oct 10, 2013	May 15, 2017	1,313	Firm change after gap	Other
SUNTRUST INVESTMENT SERVICES, INC.	FIRST HORIZON ADVISORS, INC	Apr 30, 2009	May 6, 2009	6	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	SUNTRUST INVESTMENT SERVICES, INC.	Apr 4, 2006	Apr 5, 2006	1	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
May 15, 2017 to presentfactForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
May 6, 2009 to Apr 18, 2017factForm ADV
→ FIRST TENNESSEE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 25, 2009 to Oct 10, 2013factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 5, 2006 to Apr 30, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 2, 2004 to Apr 4, 2006factForm ADV

Dated events

No dated event names this entity yet.