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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

TAMI LEE MENDELL

Advisor at PRINCIPAL SECURITIES, INC.

OMAHA, NE

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Search this name across graphsid dfx:ria:765c358d-28b0-c3be-314a-b96ee1d3645b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 7, 2000 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 1, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom 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: S63
First exam: Oct 1, 1996
First registration: Jun 7, 2000
Dual registered: yes, broker-dealer
Other names: TAMI LEE RUTH
IAPD individual key: 2479621

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	Jun 11, 2024	n/a	yes	OMAHA, NE	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 21, 2024	Jun 7, 2024	no	OMAHA, NE	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Dec 20, 2018	Mar 21, 2024	no	OMAHA, NE	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Oct 27, 2014	Dec 18, 2018	no	MINNEAPOLIS, MN\|OMAHA, NE	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jul 18, 2011	Oct 24, 2014	no	OMAHA, NE	Previous registration
SPECTRUM CAPITAL, LLC	n/a	Jun 7, 2000	Jul 8, 2011	no	OMAHA, NE\|OMAHA, NE	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
CETERA INVESTMENT ADVISERS LLC	PRINCIPAL SECURITIES, INC.	Jun 7, 2024	Jun 11, 2024	4	Firm change	Ibd to ibd
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Mar 21, 2024	Mar 21, 2024	0	Bulk transfer	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	CETERA ADVISORS LLC	Dec 18, 2018	Dec 20, 2018	2	Firm change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	QUESTAR ASSET MANAGEMENT, INC.	Oct 24, 2014	Oct 27, 2014	3	Firm change	Other
SPECTRUM CAPITAL, LLC	SAGEPOINT FINANCIAL, INC.	Jul 8, 2011	Jul 18, 2011	10	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
105644:1137:NE:2024-06-07	Jun 7, 2024	Jun 11, 2024	OMAHA, NE	Firm change

Relationships

Registered with (6)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jun 11, 2024 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 21, 2024 to Jun 7, 2024factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Dec 20, 2018 to Mar 21, 2024factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 27, 2014 to Dec 18, 2018factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jul 18, 2011 to Oct 24, 2014factForm ADV
→ SPECTRUM CAPITAL, LLCRegistered adviserregistration: previous registration
Jun 7, 2000 to Jul 8, 2011factForm ADV

Dated events

Occurred
Jun 7, 2024
Advisor changed firm
Tami Lee Mendell left Cetera Investment Advisers Llc for Principal Securities, Inc. (registered 2024-06-11)
Form ADVobserved 6 days ago