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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

John Alexander Cislo

Advisor at PRINCIPAL SECURITIES, INC.

Duxbury, MA | DES MOINES, IA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 1, 2008 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: Jul 22, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 22, 1993
First registration: Feb 1, 2008
Dual registered: yes, broker-dealer
Other names: John Alexander Cislo|John A Cislo|John Cislo
IAPD individual key: 2340529

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	Jan 18, 2024	n/a	yes	Duxbury, MA\|DES MOINES, IA	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Mar 15, 2018	Aug 2, 2023	no	PROVIDENCE, RI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 19, 2016	Mar 5, 2018	no	MARSHFIELD, MA\|BOSTON, MA\|MARSHFIELD, MA\|MARSHFIELD, MA\|BOSTON, MA	Previous registration
ICAPITAL, LLC	Other adviser	Jul 28, 2015	Feb 29, 2016	no	BOSTON, MA	Previous registration
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	Asset manager	May 1, 2010	Jul 13, 2012	no	MINNEAPOLIS, MN\|BOSTON, MA	Previous registration
BOFA ADVISORS, LLC	Former SEC adviser	Feb 1, 2008	May 7, 2010	no	BOSTON, MA	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
ADVICE AND PLANNING SERVICES	PRINCIPAL SECURITIES, INC.	Aug 2, 2023	Jan 18, 2024	169	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Mar 5, 2018	Mar 15, 2018	10	Firm change	Other
ICAPITAL, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 29, 2016	May 19, 2016	80	Firm change	Other
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	ICAPITAL, LLC	Jul 13, 2012	Jul 28, 2015	1,110	Firm change after gap	Other
BOFA ADVISORS, LLC	COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	May 7, 2010	May 1, 2010	-6	Bulk transfer	Other

Relationships

Registered with (6)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jan 18, 2024 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Mar 15, 2018 to Aug 2, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 19, 2016 to Mar 5, 2018factForm ADV
→ ICAPITAL, LLCRegistered adviserregistration: previous registration
Jul 28, 2015 to Feb 29, 2016factForm ADV
→ COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
May 1, 2010 to Jul 13, 2012factForm ADV
→ BOFA ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 1, 2008 to May 7, 2010factForm ADV

Dated events

Occurred
Aug 2, 2023
Advisor changed firm
John Alexander Cislo left Advice And Planning Services for Principal Securities, Inc. (registered 2024-01-18)
Form ADVobserved 6 days ago