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 ADVISED SERVICES

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 1, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Jun 23, 2023

First registration

Jul 10, 2023

Dual registered

yes, broker-dealer

Other names

Thomas Jonathan Riggers|Thomas Riggers

IAPD individual key

7655427

• Occurred

  Dec 3, 2025
  Advisor changed firm

  Thomas J Riggers left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Principal Advised Services (registered 2026-06-02)

  Form ADVobserved 5 days ago
• Occurred

  Feb 14, 2024
  Advisor changed firm

  Thomas J Riggers left Equitable Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-02-14)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:96e37c6e-e1ec-2ad7-f675-cfe7ff0d7aff

First observed

Jul 10, 2023

Last observed

Sep 14, 2026 6 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.