DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

GREGG MITCHELL MILLMAN

Advisor at PRINCIPAL SECURITIES, INC.

WILMINGTON, DE | Bryn Mawr, PA

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:4dc5009f-3ced-d4c7-709f-0fae49b66d6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 12, 2002 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: May 15, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 15, 2002
First registration: Jun 12, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4533027

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	Mar 3, 2003	n/a	yes	WILMINGTON, DE\|Bryn Mawr, PA	Current employment
EQUITABLE ADVISORS, LLC	National bd RIA	Jun 12, 2002	Jan 10, 2003	no	NEWARK, DE	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
EQUITABLE ADVISORS, LLC	PRINCIPAL SECURITIES, INC.	Jan 10, 2003	Mar 3, 2003	52	Firm change	Other

Relationships

Registered with (2)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Mar 3, 2003 to presentfactForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 12, 2002 to Jan 10, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4dc5009f-3ced-d4c7-709f-0fae49b66d6f
First observed: Jun 12, 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.

GREGG MITCHELL MILLMAN

Advisor at PRINCIPAL SECURITIES, INC.

WILMINGTON, DE | Bryn Mawr, PA

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:4dc5009f-3ced-d4c7-709f-0fae49b66d6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

PRINCIPAL SECURITIES, INC.

Bd affiliated wealth

Mar 3, 2003

n/a

yes

WILMINGTON, DE|Bryn Mawr, PA

Current employment

EQUITABLE ADVISORS, LLC

National bd RIA

Jun 12, 2002

Jan 10, 2003

NEWARK, DE

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

EQUITABLE ADVISORS, LLC

PRINCIPAL SECURITIES, INC.

Jan 10, 2003

Mar 3, 2003

Firm change

Other