DFX Intelligence
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 |
|---|---|---|---|---|---|
| Michael Joseph Villanueva | Principal Securities, Inc. BD affiliated | Comerica Securities bank affiliated | Other | Dec 12, 2018 | Dec 12, 2018 |
| William David Pike | Principal Securities, Inc. BD affiliated | Iams Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2018 | Dec 4, 2018 |
| David Allen Wilke | Principal Securities, Inc. BD affiliated | Capital Investment Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2018 | Nov 29, 2018 |
| Sara Lynn Klaessy | Principal Securities, Inc. BD affiliated | 1834 Investment Advisors Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2018 | Apr 18, 2025 (2359 d) |
| Robert James Edwards | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2018 | Jan 8, 2026 (2625 d) |
| Kari Ann Delaney | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Oct 31, 2018 | Nov 8, 2018 |
| Jessica Ann Henricksen | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 31, 2018 | Dec 14, 2018 (44 d) |
| Mitchell Aaron Curtis | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Oct 31, 2018 | Oct 31, 2018 |
| Kristopher James Goeden | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Oct 30, 2018 | Oct 30, 2018 |
| Nicholas James Coppola | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Oct 23, 2018 | Nov 26, 2018 (34 d) |
| Nathan Robert Walters | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2018 | Oct 22, 2018 |
| Andrea Lea Benson | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 17, 2018 | Dec 14, 2018 (58 d) |
| Ryan Gerardy | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 17, 2018 | Dec 14, 2018 (58 d) |
| Daniel Gardner Converse | Principal Securities, Inc. BD affiliated | Verus Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 11, 2018 | Oct 4, 2018 |
| Brian R Molin | Principal Securities, Inc. BD affiliated | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2018 | Oct 16, 2018 |
| Travis Trettin | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 2, 2018 | Sep 18, 2018 |
| Dustin Dayton Wigington | Principal Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2018 | Sep 18, 2018 |
| Frederick Arden Nyberg | Principal Securities, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2018 | Jan 25, 2019 (126 d) |
| Paritosh Rajora | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2018 | Sep 24, 2018 |
| Gloria Pamela Rodriguez | Principal Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 21, 2018 | Mar 1, 2019 (161 d) |
| Keith Emory Mays | Principal Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 18, 2018 | Oct 3, 2018 |
| Justin Daniel Lamonica | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2018 | Aug 22, 2018 |
| Jennifer Marie Friedman | Principal Securities, Inc. BD affiliated | Mesirow Financial Investment Management, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2018 | Jul 13, 2020 (677 d) |
| Todd William Mcelroy | Principal Securities, Inc. BD affiliated | Pgi Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 | Aug 28, 2018 |
| Nicholas Ward Mcelroy | Principal Securities, Inc. BD affiliated | Pgi Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 | Aug 21, 2018 |
| Nicholas Chase Miles | Principal Securities, Inc. BD affiliated | Independent Advisor Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2018 | Aug 20, 2018 |
| Gavin Douglas Chambers | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2018 | Jul 31, 2018 |
| Darin Swick | Principal Securities, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2018 | Jul 30, 2018 |
| Valarie Knoblock Vest | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2018 | Aug 20, 2018 |
| Matthew Maciel | Principal Securities, Inc. BD affiliated | Maciel Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 7, 2018 | Dec 3, 2018 (118 d) |
| Janice Marie Swanson | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2018 | Jan 4, 2019 (155 d) |
| Lauren Imperiosi Margetts | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2018 | Jun 18, 2019 (327 d) |
| Bryan Caulkins | Principal Securities, Inc. BD affiliated | Proxy Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2018 | Aug 13, 2018 (31 d) |
| Tracy Lee Reierson | Principal Securities, Inc. BD affiliated | Global View Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2018 | Jun 28, 2018 |
| Michael Lyons Thomas | Principal Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jun 20, 2018 | Sep 3, 2019 (440 d) |
| Craig C Gabel | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2018 | Jun 15, 2018 |
| Paul E Carlson | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2018 | May 18, 2018 |
| Christopher Scott Hall | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2018 | May 21, 2018 |
| Stoney Ray Foster | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2018 | May 18, 2018 |
| Chad Cook | Principal Securities, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2018 | Jul 17, 2018 (35 d) |
| Brent John Welch | Principal Securities, Inc. BD affiliated | Valmark Advisers, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2018 | Aug 8, 2018 (58 d) |
| Amanda Marie Unger | Principal Securities, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2018 | Jun 14, 2018 |
| Etsuji Edward Oizumi | Principal Securities, Inc. BD affiliated | Hbw Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2018 | May 30, 2018 |
| Brandon Alexander Trank | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2018 | Nov 14, 2019 (528 d) |
| Mark Buchanan | Principal Securities, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 2, 2018 | Jun 27, 2018 |
| Nicholas David Mccleary | Principal Securities, Inc. BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2018 | May 8, 2018 |
| Andrew Michael Wrightsman | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | May 9, 2018 | May 31, 2018 |
| Eric Edward Howard | Principal Securities, Inc. BD affiliated | Principal Financial Advisors, Inc. no RAUM | Other | May 8, 2018 | Nov 16, 2004 |
| Grant Daniel Huttel | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 8, 2018 | May 3, 2018 |
| Ryan Thomas Waller | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2018 | Nov 26, 2019 (568 d) |
| Marc R Maddox | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | May 1, 2018 |
| Josh Ac Rummonds | Principal Securities, Inc. BD affiliated | Beacon Pointe Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 3, 2018 | May 8, 2018 |
| Thomas Scott Hendricks | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | May 2, 2018 | May 7, 2018 |
| Peter William Brock | Principal Securities, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Apr 20, 2018 |
| Bradley James Hanus | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 | Dec 14, 2018 (226 d) |
| Julia Claire Mccormick | Principal Securities, Inc. BD affiliated | Lw Advisors, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 30, 2018 | Apr 16, 2018 |
| Howard Christian Barto | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2018 | May 10, 2018 |
| Tara Nicole Eulenfeld | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2018 | Apr 16, 2018 |
| Ricardo L Rodriguez | Principal Securities, Inc. BD affiliated | Pentegra Investors, Inc. institutional | Other | Apr 16, 2018 | Jun 12, 2018 (57 d) |
| Matthew Wayne Grimlie | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2018 | May 4, 2018 |
1,562 moves match.