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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

SCOTT ANDREW STEWART

Advisor at PRINCIPAL SECURITIES, INC.

Roseville, CA | RICHMOND, CA

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Search this name across graphsid dfx:ria:bf6e92e8-48a3-d48e-52b0-e1bb2442b08d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 17, 2015 to Sep 15, 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 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 15, 2015
First registration: Jul 17, 2015
Dual registered: yes, broker-dealer
Other names: SCOTT ANDREW STEWART|Scott Stewart
IAPD individual key: 5924361

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	Jul 18, 2025	n/a	yes	RICHMOND, CA\|Roseville, CA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	Jul 29, 2025	no	ROSEVILLE, CA\|WALNUT CREEK, CA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Nov 12, 2018	Nov 14, 2024	no	Walnut Creek, CA\|Walnut Creek, CA\|San Ramon, CA\|Richmond, CA	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 4, 2018	Jun 22, 2018	no	SAN MATEO, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jul 17, 2015	May 30, 2018	no	HOUSTON, TX\|LIVERMORE, CA\|POINT RICHMOND, CA\|SAN RAMON, CA\|Bakersfield, CA\|IRVINE, CA\|LIVERMORE, CA\|POINT RICHMOND, CA\|SAN RAMON, CA\|SAN RAMON, 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
LPL ENTERPRISE, LLC	PRINCIPAL SECURITIES, INC.	Jul 29, 2025	Jul 18, 2025	-11	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
SECURIAN FINANCIAL SERVICES, INC.	PRUCO SECURITIES, LLC	Jun 22, 2018	Nov 12, 2018	143	Firm change	Ibd to ibd
OSAIC FA, INC.	SECURIAN FINANCIAL SERVICES, INC.	May 30, 2018	Jun 4, 2018	5	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jul 18, 2025 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to Jul 29, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 12, 2018 to Nov 14, 2024factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 4, 2018 to Jun 22, 2018factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jul 17, 2015 to May 30, 2018factForm ADV

Dated events

Occurred
Jul 29, 2025
Advisor changed firm
Scott Andrew Stewart left Lpl Enterprise, Llc for Principal Securities, Inc. (registered 2025-07-18)
Form ADVobserved 4 days ago