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

Matthew Paul Giesler

Principal Securities, Inc.BD affiliatedFt Thomas, Kydual registrantIAPD 2317915

Feed of 09/14/2026

Also filed as Matt Giesler

At current firm

2 y

since Oct 19, 2023

In the industry

33 y

since Mar 24, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 19, 2023 · Ft Thomas, Ky
Osaic Fa, Inc. former
Oct 5, 2018 to Jan 6, 2023 · Ft Thomas, Ky
Secure Investment Management, LLC independent RIA
Nov 8, 2017 to Sep 24, 2018 · Ft. Thomas, Ky
U.S. Bancorp Investments, Inc. former
Jul 12, 2011 to Sep 29, 2017 · Cold Spring, Ky
Chase Investment Services Corp. former
Jul 6, 2005 to Jul 13, 2011 · Ft. Thomas, Ky
Banc One Securities Corporation unclassified
Dec 12, 2003 to Jul 6, 2005 · Bellevue, Ky
Park Avenue Securities LLC BD affiliated
Jan 23, 2001 to Dec 11, 2003 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

Osaic Fa, Inc. to Principal Securities, Inc.
left Jan 6, 2023, registered Oct 19, 2023 (286 days) · Affiliated broker-dealer or bank to another
Secure Investment Management, LLC to Osaic Fa, Inc.
left Sep 24, 2018, registered Oct 5, 2018 (11 days) · RIA to affiliated broker-dealer or bank
U.S. Bancorp Investments, Inc. to Secure Investment Management, LLC
left Sep 29, 2017, registered Nov 8, 2017 (40 days) · Other
Chase Investment Services Corp. to U.S. Bancorp Investments, Inc.
left Jul 13, 2011, registered Jul 12, 2011 (-1 days) · Other
Banc One Securities Corporation to Chase Investment Services Corp.
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
Park Avenue Securities LLC to Banc One Securities Corporation
left Dec 11, 2003, registered Dec 12, 2003 (1 days) · Other

Signals

Matthew Paul Giesler left Osaic Fa, Inc. for Principal Securities, Inc. (registered 2023-10-19)
Jan 6, 2023 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address