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 30, 1990earliest registration or exam on IAPD

Years in industry

36derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jul 30, 1990

First registration

Feb 27, 2002

Dual registered

yes, broker-dealer

IAPD individual key

2063423

• Occurred

  Dec 2, 2022
  Advisor changed firm

  Adelaide Pund left Cetera Investment Advisers Llc for Principal Securities, Inc. (registered 2022-12-22)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3d2b31af-d742-a41c-dded-5032913a7f49

First observed

Feb 27, 2002

Last observed

Sep 14, 2026 5 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.