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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

BRIAN PATRICK THORNTON

Advisor at PRINCIPAL SECURITIES, INC.

FREDERICK,, MD | BETHESDA, MD

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Search this name across graphsid dfx:ria:f399f6c8-35a9-d7c0-0a49-2f4edf47b8c1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2003 to Sep 14, 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: Mar 18, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Mar 18, 1998
First registration: Jun 5, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 3016295

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	Jun 18, 2018	n/a	yes	BETHESDA, MD\|FREDERICK,, MD	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Aug 8, 2008	Jun 19, 2009	no	BETHESDA, MD	Previous registration
INVESTOR SOLUTIONS	Former SEC adviser	Oct 31, 2007	Aug 5, 2008	no	COCONUT GROVE, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 6, 2007	Jul 5, 2007	no	RIVERVIEW, FL	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jun 9, 2004	Mar 20, 2007	no	ST. PETERSBURG, FL\|SAINT PETERSBURG, FL	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Nov 10, 2003	Feb 23, 2004	no	TAMPA, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 5, 2003	Aug 21, 2003	no	FORT MYERS, FL	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
INVESTOR SOLUTIONS	PRINCIPAL SECURITIES, INC.	Aug 5, 2008	Aug 8, 2008	3	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	INVESTOR SOLUTIONS	Jul 5, 2007	Oct 31, 2007	118	Firm change	Other
RAYMOND JAMES & ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Mar 20, 2007	Jun 6, 2007	78	Firm change	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	RAYMOND JAMES & ASSOCIATES, INC.	Feb 23, 2004	Jun 9, 2004	107	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	T. ROWE PRICE ADVISORY SERVICES, INC.	Aug 21, 2003	Nov 10, 2003	81	Firm change	Ibd to new firm

Relationships

Registered with (6)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Aug 8, 2008 to Jun 19, 2009factForm ADV
→ INVESTOR SOLUTIONSRegistered adviserregistration: previous registration
Oct 31, 2007 to Aug 5, 2008factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 6, 2007 to Jul 5, 2007factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jun 9, 2004 to Mar 20, 2007factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Nov 10, 2003 to Feb 23, 2004factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 5, 2003 to Aug 21, 2003factForm ADV

Dated events

No dated event names this entity yet.