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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Sara Mills-Gaines

Advisor at PRINCIPAL SECURITIES, INC.

PENNGROVE, CA | Roseville, CA

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Search this name across graphsid dfx:ria:43bb84be-ecad-61d2-24f2-203ae445de31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2008 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 7, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 15, 2024
First registration: Apr 7, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5479702

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	Aug 16, 2024	n/a	yes	Roseville, CA\|PENNGROVE, CA	Current employment
PARSONEX ADVISORY SERVICES, INC.	Independent wealth	Jan 12, 2021	Jul 27, 2021	no	Orange, CA\|ENGLEWOOD, CO	Previous registration
PARSONEX ADVISORY SERVICES, INC.	Independent wealth	Mar 16, 2020	Dec 31, 2020	no	ENGLEWOOD, CO\|Rohnert, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 27, 2016	Apr 5, 2018	no	ROHNERT PARK, CA\|ROHNERT PARK, CA\|LIVERMORE, CA\|ROHNERT PARK, CA\|SONOMA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jun 17, 2015	no	SANTA ROSA, CA\|CORTE MADERA, CA\|SAN FRANCISCO, CA\|CORTE MADERA, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 7, 2008	Jan 3, 2011	no	CORTE MADERA, CA\|PETALUMA, CA\|BELVEDERE, CA\|MILL VALLEY, CA\|MILL VALLEY, CA	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
PARSONEX ADVISORY SERVICES, INC.	PRINCIPAL SECURITIES, INC.	Jul 27, 2021	Aug 16, 2024	1,116	Firm change after gap	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PARSONEX ADVISORY SERVICES, INC.	Apr 5, 2018	Mar 16, 2020	711	Firm change after gap	Wirehouse to RIA
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 17, 2015	May 27, 2016	345	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:7691:CA:2015-06-15	Jun 17, 2015	May 27, 2016	CORTE MADERA, CA	Firm change

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Aug 16, 2024 to presentfactForm ADV
→ PARSONEX ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 12, 2021 to Jul 27, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 27, 2016 to Apr 5, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jun 17, 2015factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 7, 2008 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.