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 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

Sep 1, 1995earliest registration or exam on IAPD

Years in industry

31derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

May 2, 1996

First registration

Dec 31, 2001

Dual registered

yes, broker-dealer

IAPD individual key

2738599

• Occurred

  Oct 17, 2023
  Advisor changed firm

  Lee Edward Hopper left On Investment Management Co for Principal Securities, Inc. (registered 2023-10-18)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9e073fd2-6d72-606d-9c13-a62056f92ce8

First observed

Dec 31, 2001

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.