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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ANTONIO CARTER

Advisor at PRINCIPAL SECURITIES, INC.

DES MOINES, IA | Gilbert, AZ

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Search this name across graphsid dfx:ria:9ff58243-b2a5-0a25-8e27-c6a3d9269240

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Mar 6, 2012 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: Jan 20, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jan 20, 2006
First registration: Mar 6, 2012
Dual registered: yes, broker-dealer
Other names: TONY CARTER|ANTONIO ADELARDE CARTER|ANTONIO ADELARD CARTER|Antonio Carter|ANTINIO A CARTER|ANTONIO A CARTER
IAPD individual key: 5022315

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	May 19, 2023	n/a	yes	Gilbert, AZ\|DES MOINES, IA	Current employment
M FINANCIAL ASSET MANAGEMENT, INC.	Independent wealth	Oct 14, 2022	Apr 27, 2023	no	Murrieta, CA\|PORTLAND, OR	Previous registration
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Sep 9, 2022	Apr 27, 2023	no	Murrieta, CA\|PORTLAND, OR	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Dec 11, 2015	Aug 30, 2022	no	SAN DIEGO, CA\|San Diego, CA	Previous registration
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Oct 2, 2015	Dec 22, 2015	no	SAN DIEGO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Oct 2, 2015	Dec 7, 2015	no	SAN DIEGO, CA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Mar 6, 2012	Sep 30, 2015	no	WALTHAM, MA\|SAN DIEGO, 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
M FINANCIAL ASSET MANAGEMENT, INC.	PRINCIPAL SECURITIES, INC.	Apr 27, 2023	May 19, 2023	22	Firm change	RIA to ibd
M HOLDINGS SECURITIES, INC.	M FINANCIAL ASSET MANAGEMENT, INC.	Apr 27, 2023	Oct 14, 2022	-195	Firm change after gap	Ibd to RIA
COMMONWEALTH FINANCIAL NETWORK	M HOLDINGS SECURITIES, INC.	Aug 30, 2022	Sep 9, 2022	10	Firm change	Ibd to ibd
SORRENTO PACIFIC FINANCIAL, LLC	COMMONWEALTH FINANCIAL NETWORK	Dec 22, 2015	Dec 11, 2015	-11	Firm change	Other
CUSO FINANCIAL SERVICES, L.P.	SORRENTO PACIFIC FINANCIAL, LLC	Dec 7, 2015	Oct 2, 2015	-66	Firm change after gap	Other
COMMONWEALTH FINANCIAL NETWORK	CUSO FINANCIAL SERVICES, L.P.	Sep 30, 2015	Oct 2, 2015	2	Firm change	Other

Relationships

Registered with (6)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ M FINANCIAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 14, 2022 to Apr 27, 2023factForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Sep 9, 2022 to Apr 27, 2023factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Dec 11, 2015 to Aug 30, 2022factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Oct 2, 2015 to Dec 22, 2015factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Oct 2, 2015 to Dec 7, 2015factForm ADV

Dated events

Occurred
Apr 27, 2023
Advisor changed firm
Antonio Carter left M Financial Asset Management, Inc. for Principal Securities, Inc. (registered 2023-05-19)
Form ADVobserved 6 days ago
Occurred
Apr 27, 2023
Advisor changed firm
Antonio Carter left M Holdings Securities, Inc. for M Financial Asset Management, Inc. (registered 2022-10-14)
Form ADVobserved 6 days ago
Occurred
Aug 30, 2022
Advisor changed firm
Antonio Carter left Commonwealth Financial Network for M Holdings Securities, Inc. (registered 2022-09-09)
Form ADVobserved 6 days ago