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

Jun 30, 2000earliest registration or exam on IAPD

Years in industry

26derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Jun 30, 2000

First registration

Mar 24, 2006

Dual registered

yes, broker-dealer

Other names

TOM JOSEPH JOHNSON

IAPD individual key

4191577

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b291f8bc-065f-c5e5-c613-e88dafe77e5d

First observed

Mar 24, 2006

Last observed

Sep 15, 2026 4 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.