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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

DAVID RAY SIMS

Advisor at PRINCIPAL SECURITIES, INC.

ADDISON, TX

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Search this name across graphsid dfx:ria:fffcf05e-7935-74be-8497-2c1688160ed8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2010 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: Jul 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jul 28, 2008
First registration: Jan 7, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 5572258

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	May 15, 2019	n/a	yes	ADDISON, TX	Current employment
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS	Former SEC adviser	Jan 23, 2019	May 1, 2019	no	Hurst, TX	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Sep 25, 2013	Jan 24, 2019	no	ADDISON, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Mar 30, 2011	Sep 11, 2013	no	ADDISON, TX\|DALLAS, TX	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 7, 2010	Mar 17, 2011	no	DALLAS, TX	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
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS	PRINCIPAL SECURITIES, INC.	May 1, 2019	May 15, 2019	14	Firm change	RIA to ibd
PRINCIPAL SECURITIES, INC.	HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS	Jan 24, 2019	Jan 23, 2019	-1	Firm change	Ibd to RIA
USAA FINANCIAL PLANNING SERVICES	PRINCIPAL SECURITIES, INC.	Sep 11, 2013	Sep 25, 2013	14	Firm change	Other
MSI FINANCIAL SERVICES, INC.	USAA FINANCIAL PLANNING SERVICES	Mar 17, 2011	Mar 30, 2011	13	Firm change	Other

Relationships

Registered with (4)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 25, 2013 to Jan 24, 2019factForm ADV
→ HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTSRegistered adviserregistration: previous registration
Jan 23, 2019 to May 1, 2019factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Mar 30, 2011 to Sep 11, 2013factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 7, 2010 to Mar 17, 2011factForm ADV

Dated events

No dated event names this entity yet.