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.
Advisor moves
Departures from Principal Securities, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Mindy Minarik-Prins | Principal Securities, Inc. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2020 | Oct 8, 2020 |
| Richard Judd Bjorklund | Principal Securities, Inc. BD affiliated | Balefire, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2020 | Sep 9, 2020 |
| Erika Wood | Principal Securities, Inc. BD affiliated | Balefire, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2020 | Sep 9, 2020 |
| Becca Henry Stockdale | Principal Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2020 | Sep 1, 2020 |
| Wesley Gary Gunter | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Nov 23, 2020 (87 d) |
| Matthew Rush | Principal Securities, Inc. BD affiliated | Jaffe Tilchin Investment Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2020 | Sep 25, 2020 |
| Shafiq Jadavji | Principal Securities, Inc. BD affiliated | Summit Financial Group Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2020 | Aug 10, 2020 |
| Lisa Hemby | Principal Securities, Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2020 | Sep 18, 2020 |
| Matthew Shawn Smitherman | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 25, 2020 | Jul 12, 2022 (686 d) |
| Alex Gregory Froloff | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 12, 2020 | Dec 8, 2021 (483 d) |
| Ernest Lee Smith | Principal Securities, Inc. BD affiliated | Nexadvisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 12, 2020 | Nov 3, 2022 (813 d) |
| Vito S. Manno | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2020 | Aug 20, 2020 |
| Geoffrey Robert Christy | Principal Securities, Inc. BD affiliated | Foster Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2020 | Mar 5, 2021 (221 d) |
| William Joseph Cooper | Principal Securities, Inc. BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2020 | Jul 22, 2020 |
| Nicole Lynn Becker | Principal Securities, Inc. BD affiliated | Packerland Brokerage Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2020 | Jul 2, 2020 |
| Teddy Max Choate | Principal Securities, Inc. BD affiliated | Empower Advisory Group, LLC institutional | Other | Jul 6, 2020 | Jul 15, 2020 |
| Andrew James Ruggiero | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2020 | Oct 20, 2020 (113 d) |
| Jeffrey James White | Principal Securities, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2020 | Jun 3, 2020 |
| Jeffery Ames Riley | Principal Securities, Inc. BD affiliated | Stonex Advisors Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2020 | Jun 18, 2020 |
| Chad W Denike | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2020 | Sep 26, 2024 (1567 d) |
| Benton H Olson | Principal Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2020 | Jun 15, 2020 |
| Mary Frances Dill Sullivan | Principal Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2020 | Jun 5, 2020 |
| Kyle Larry Sullivan | Principal Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2020 | Jun 8, 2020 |
| Jonathan Mays | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2020 | May 11, 2022 (701 d) |
| Christopher Cody Holbrook | Principal Securities, Inc. BD affiliated | Meeder Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 21, 2020 | Sep 24, 2020 (126 d) |
| Anthony Allen Sacco | Principal Securities, Inc. BD affiliated | Usi Advisors institutional | Other | May 19, 2020 | Jun 11, 2020 |
| Robert Brian Riney | Principal Securities, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 10, 2022 (726 d) |
| Karen Elaine Winblade | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 5, 2020 |
| Thomas Lee Henry | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2020 | May 22, 2020 |
| Reuben David Levinsohn | Principal Securities, Inc. BD affiliated | Washington Avenue Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2020 | Apr 20, 2020 |
| Amanda Jean Beeler | Principal Securities, Inc. BD affiliated | Washington Avenue Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2020 | Apr 18, 2020 |
| Nicholas Brandon Pope | Principal Securities, Inc. BD affiliated | Washington Avenue Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2020 | Apr 20, 2020 |
| Brian Michael Klemczak | Principal Securities, Inc. BD affiliated | Washington Avenue Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2020 | Mar 16, 2021 (323 d) |
| Matthew M Anderson | Principal Securities, Inc. BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Mar 31, 2020 | Mar 25, 2020 |
| Joe D Miller | Principal Securities, Inc. BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2020 | Jun 17, 2020 (86 d) |
| Jon Paul Solitro | Principal Securities, Inc. BD affiliated | Financialmd, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 20, 2020 | May 21, 2025 (1888 d) |
| Bradley Whelan | Principal Securities, Inc. BD affiliated | Empower Advisory Group, LLC institutional | Other | Mar 12, 2020 | May 8, 2020 (57 d) |
| Bryan Leroy Holen | Principal Securities, Inc. BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2020 | Nov 1, 2021 (601 d) |
| Travis Ruane | Principal Securities, Inc. BD affiliated | Investacorp Advisory Services Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2020 | Jan 17, 2020 |
| Shawn A Wooden | Principal Securities, Inc. BD affiliated | Investacorp Advisory Services Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2020 | Jan 10, 2020 |
| Sally N Engels | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Mar 23, 2020 (83 d) |
| Glenn Jay Tassey | Principal Securities, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 2, 2020 |
| Russell Yamauchi | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 7, 2020 |
| Deanna Powell Spivey | Principal Securities, Inc. BD affiliated | Creative Planning Institutional Advisors, LLC other | Other | Dec 20, 2019 | Jan 29, 2020 (40 d) |
| Bryon Andrew Eggan | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Feb 25, 2020 (71 d) |
| Aubrey Kemerling | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Dec 19, 2019 |
| Amy Lynn Johnston | Principal Securities, Inc. BD affiliated | Ameritas Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Feb 24, 2020 (70 d) |
| Michael Lynch | Principal Securities, Inc. BD affiliated | Castleview Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 9, 2019 | Mar 13, 2025 (1921 d) |
| Kathy Krzeminski | Principal Securities, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 9, 2019 | Nov 26, 2019 |
| Thomas Cole | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2019 | Dec 4, 2019 |
| Roric Eugene Griffith | Principal Securities, Inc. BD affiliated | Integrated Financial Solutions, Pllc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 14, 2019 | Dec 4, 2019 |
| Steven Clarence Flowers | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2019 | Nov 1, 2019 |
| Kevin M Linn | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 7, 2019 | Nov 1, 2019 |
| Ariel Cabrera | Principal Securities, Inc. BD affiliated | Celaya Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 1, 2019 | May 21, 2021 (567 d) |
| Nicholas Wayne Kroeger | Principal Securities, Inc. BD affiliated | Moneta Group Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2019 | Oct 28, 2019 |
| Adam Peter Bileckyj | Principal Securities, Inc. BD affiliated | Brightway Wealth Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 23, 2019 | Feb 21, 2020 (121 d) |
| Patrick Winston Lillis | Principal Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Oct 22, 2019 | Oct 22, 2019 |
| Michael P Barackman | Principal Securities, Inc. BD affiliated | Green Street no RAUM | Other | Oct 18, 2019 | Nov 11, 2019 |
| Jeffrey Alan Trier | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Oct 3, 2019 | Oct 2, 2019 |
| Samuel Mattson | Principal Securities, Inc. BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2019 | Oct 14, 2019 |
1,561 moves match.