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

Dec 1, 2014earliest 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

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Feb 13, 2015

First registration

Feb 25, 2015

Dual registered

yes, broker-dealer

Other names

JAIME PAUL WALTON|James Paul Walton|JAMES WALTON

IAPD individual key

6416782

• Occurred

  Apr 17, 2024
  Advisor changed firm

  James Paul Walton left Valic Financial Advisors, Inc. for Principal Securities, Inc. (registered 2025-02-06)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f1399f99-d2d7-2375-c9d5-dc08d309de40

First observed

Feb 25, 2015

Last observed

Sep 14, 2026 5 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.