DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Joseph S Sicchitano

Principal Securities, Inc.BD affiliatedAlpharetta, Gadual registrantIAPD 2261944

Certified Financial Planner

Feed of 09/14/2026

Also filed as Joseph Scott Sicchitano

At current firm

0 y

since Oct 24, 2025

In the industry

25 y

since Feb 2, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Principal Securities, Inc. BD affiliated current
since Oct 24, 2025 · Alpharetta, Ga
Morgan Stanley wirehouse
May 12, 2023 to Sep 30, 2025 · Alpharetta, Ga
Bb&T Securities, LLC former
Dec 10, 2019 to Dec 22, 2020 · Atlanta, Ga
Truist Advisory Services, Inc. BD affiliated
Sep 9, 2016 to Jul 1, 2020 · Atlanta, Ga
Suntrust Investment Services, Inc. former
Dec 15, 2011 to Dec 31, 2016 · Atlanta, Ga
Advice And Planning Services BD affiliated
Jan 10, 2005 to Dec 1, 2011 · Charlotte, Nc
Equitable Advisors, LLC national BD
Oct 24, 2003 to Dec 10, 2004 · Alpharetta, Ga

Moves

a registration end followed by a registration begin elsewhere

Morgan Stanley to Principal Securities, Inc.
left Sep 30, 2025, registered Oct 24, 2025 (24 days) · Wirehouse to affiliated broker-dealer or bank
Bb&T Securities, LLC to Morgan Stanley
left Dec 22, 2020, registered May 12, 2023 (871 days) · Affiliated broker-dealer or bank to wirehouse
Truist Advisory Services, Inc. to Bb&T Securities, LLC
left Jul 1, 2020, registered Dec 10, 2019 (-204 days) · Affiliated broker-dealer or bank to another
Suntrust Investment Services, Inc. to Truist Advisory Services, Inc.
left Dec 31, 2016, registered Sep 9, 2016 (-113 days) · corporate re-registration, not a move
Advice And Planning Services to Suntrust Investment Services, Inc.
left Dec 1, 2011, registered Dec 15, 2011 (14 days) · Other
Equitable Advisors, LLC to Advice And Planning Services
left Dec 10, 2004, registered Jan 10, 2005 (31 days) · Other

Signals

Joseph S Sicchitano left Morgan Stanley for Principal Securities, Inc. (registered 2025-10-24)
Sep 30, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address