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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

TONYA LYNN MATHISON

Advisor at PRINCIPAL SECURITIES, INC.

PLATTSMOUTH, NE | DES MOINES, IA

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Search this name across graphsid dfx:ria:74f6af01-72de-e156-e5e5-e3180accede4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 18, 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: Aug 4, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Aug 4, 2000
First registration: Mar 18, 2002
Dual registered: yes, broker-dealer
Other names: TONYA L SANDERS|TONYA LYNN SANDERS|TONYA LYNN MATHISON|TONYA MATHISON
IAPD individual key: 2747110

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	Jan 25, 2024	n/a	yes	PLATTSMOUTH, NE\|DES MOINES, IA	Current employment
STRATEGIC WEALTH ADVISORS GROUP	Former SEC adviser	May 5, 2008	Dec 18, 2008	no	SAN RAMON, CA\|SAN RAMON, CA	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Apr 28, 2008	Nov 28, 2008	no	SAN MATEO, CA\|SAN RAMON, CA	Previous registration
GOLDSTEIN MUNGER + ASSOCIATES	Former SEC adviser	Jan 2, 2008	Apr 24, 2008	no	SAN RAMON, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 18, 2002	Oct 24, 2007	no	WALNUT CREEK, CA\|Pleasanton, 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
STRATEGIC WEALTH ADVISORS GROUP	PRINCIPAL SECURITIES, INC.	Dec 18, 2008	Jan 25, 2024	5,516	Firm change after gap	Other
FSC SECURITIES CORPORATION	STRATEGIC WEALTH ADVISORS GROUP	Nov 28, 2008	May 5, 2008	-207	Firm change after gap	Other
GOLDSTEIN MUNGER + ASSOCIATES	FSC SECURITIES CORPORATION	Apr 24, 2008	Apr 28, 2008	4	Firm change	Other
MML INVESTORS SERVICES, LLC	GOLDSTEIN MUNGER + ASSOCIATES	Oct 24, 2007	Jan 2, 2008	70	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jan 25, 2024 to presentfactForm ADV
→ STRATEGIC WEALTH ADVISORS GROUPRegistered adviserregistration: previous registration
May 5, 2008 to Dec 18, 2008factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 28, 2008 to Nov 28, 2008factForm ADV
→ GOLDSTEIN MUNGER + ASSOCIATESRegistered adviserregistration: previous registration
Jan 2, 2008 to Apr 24, 2008factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 18, 2002 to Oct 24, 2007factForm ADV

Dated events

No dated event names this entity yet.