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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Dale Duane Bartlett

Advisor at PRINCIPAL SECURITIES, INC.

OVERLAND PARK, KS

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 7, 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: Oct 10, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 10, 1995
First registration: Aug 7, 2002
Dual registered: yes, broker-dealer
Other names: D. DUANNE BARTLETT|DUANE BARTLETT|Dale Duane Bartlett|Dale Duane Bartlett|D Duane Bartlett
IAPD individual key: 2625302

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 29, 2022	n/a	yes	OVERLAND PARK, KS	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 1, 2020	Aug 17, 2022	no	LEAWOOD, KS	Previous registration
ONEAMERICA SECURITIES, INC.	Bd affiliated wealth	Dec 6, 2017	May 6, 2020	no	Leawood, KS\|INDIANAPOLIS, IN\|Leawood, KS\|INDIANAPOLIS, IN	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	May 11, 2017	no	ST. LOUIS, MO	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 31, 2012	Mar 25, 2017	no	ST. LOUIS, MO\|DALLAS, TX\|DALLAS, TX	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Aug 7, 2002	Jan 2, 2015	no	ST. LOUIS, MO\|ST LOUIS, MO\|OMAHA, NE\|ST. LOUIS, MO\|OVERLAND PARK, KS\|ST. LOUIS, MO\|DALLAS, TX\|DALLAS, TX\|OVERLAND PARK, KS	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	PRINCIPAL SECURITIES, INC.	Aug 17, 2022	Aug 29, 2022	12	Firm change	Other
ONEAMERICA SECURITIES, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	May 6, 2020	Jun 1, 2020	26	Firm change	Other
MML INVESTORS SERVICES, LLC	ONEAMERICA SECURITIES, INC.	May 11, 2017	Dec 6, 2017	209	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
NEW ENGLAND SECURITIES CORPORATION	MSI FINANCIAL SERVICES, INC.	Jan 2, 2015	Oct 31, 2012	-793	Bulk transfer	Other

Relationships

Registered with (6)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Aug 29, 2022 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 1, 2020 to Aug 17, 2022factForm ADV
→ ONEAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Dec 6, 2017 to May 6, 2020factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to May 11, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 31, 2012 to Mar 25, 2017factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 7, 2002 to Jan 2, 2015factForm ADV

Dated events

Occurred
Aug 17, 2022
Advisor changed firm
Dale Duane Bartlett left Northwestern Mutual Investment Services,Llc for Principal Securities, Inc. (registered 2022-08-29)
Form ADVobserved 6 days ago