DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at PRINCIPAL SECURITIES, INC.
WAKE FOREST, NC | Raleigh, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Sep 30, 2020 | n/a | yes | Raleigh, NC|WAKE FOREST, NC | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Apr 9, 2014 | Sep 24, 2020 | no | RALEIGH, NC|RALEIGH, NC|RALEIGH, NC|RALEIGH, NC|RALEIGH, NC|ROCKY MOUNT, NC|ROCKY MOUNT, NC|RALEIGH, NC|RALEIGH, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | PRINCIPAL SECURITIES, INC. | Sep 24, 2020 | Sep 30, 2020 | 6 | Firm change | Wirehouse to ibd |