DFX Intelligence

RIA 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.

AdvisorFromToTypeLeftRegistered
Timothy Filipe LourencoPrincipal Securities, Inc. BD affiliatedThe Foundation Wealth Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 10, 2018Apr 13, 2018
Alton Dempsey FryerPrincipal Securities, Inc. BD affiliatedBolton Investment institutionalOtherApr 9, 2018Jan 1, 2025 (2459 d)
Alex B PerezPrincipal Securities, Inc. BD affiliatedFoundations Investment Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 5, 2018Jan 8, 2019 (278 d)
Sarah Lynn AnthoferPrincipal Securities, Inc. BD affiliatedGlobal Retirement Partners LLC institutionalOtherApr 5, 2018Apr 17, 2018
Amanda Noel AlmoradoPrincipal Securities, Inc. BD affiliatedErnst & Young Investment Advisers Llp no RAUMOtherApr 5, 2018Jun 20, 2018 (76 d)
Keith LarsenPrincipal Securities, Inc. BD affiliatedHornor, Townsend & Kent, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 4, 2018Apr 10, 2020 (737 d)
Andrew Paul HerbertPrincipal Securities, Inc. BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2018Apr 17, 2018
Craig Anthony HauszPrincipal Securities, Inc. otherXo Wealth Management independent RIAOtherMar 22, 2018May 21, 2018 (60 d)
Mark David ScheidterPrincipal Securities, Inc. otherPsi Advisors, LLC otherOtherMar 7, 2018Mar 8, 2018
Christopher Steven FerrellPrincipal Securities, Inc. otherPsi Advisors, LLC otherOtherMar 7, 2018Mar 9, 2018
Alexander Lee MisartiPrincipal Securities, Inc. otherPsi Advisors, LLC otherOtherMar 7, 2018Mar 5, 2018
Chawn Francis HonkompPrincipal Securities, Inc. otherRda Financial Network otherOtherMar 5, 2018Feb 23, 2018
John Eugene PerezPrincipal Securities, Inc. otherBrookstone Capital Management LLC independent RIAOtherFeb 24, 2018Apr 26, 2018 (61 d)
John C WootenPrincipal Securities, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherFeb 24, 2018Feb 7, 2018
Terrie MartinezPrincipal Securities, Inc. otherTransamerica Retirement Advisors, LLC otherOtherFeb 14, 2018Feb 15, 2018
Laurie Jo KetterlingPrincipal Securities, Inc. otherBalefire, LLC independent RIAOtherFeb 12, 2018Apr 6, 2018 (53 d)
Robert Holmes GunningPrincipal Securities, Inc. otherIndependent Financial Group, LLC otherOtherFeb 9, 2018Feb 28, 2018
Michael Thomas BoylePrincipal Securities, Inc. otherCommonwealth Financial Network national BDOtherFeb 1, 2018Jan 22, 2018
Elaine Thompson-PerezPrincipal Securities, Inc. otherMorgan Stanley wirehouseOtherJan 29, 2018Jan 26, 2018
Delores J MayPrincipal Securities, Inc. otherPnc Wealth Management BD affiliatedOtherJan 29, 2018Feb 9, 2018
Peter Thomas NoonePrincipal Securities, Inc. otherUBS Financial Services Inc. wirehouseOtherJan 29, 2018Jan 8, 2018
Andrew BlizePrincipal Securities, Inc. otherPark Avenue Securities LLC BD affiliatedOtherJan 25, 2018Jan 23, 2018
Joseph Steven ParkerPrincipal Securities, Inc. otherCetera Investment Advisers LLC otherOtherJan 24, 2018Jan 10, 2018
Thomas Nelson KiklyPrincipal Securities, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 18, 2018Jun 2, 2018 (135 d)
Belkys MejiaPrincipal Securities, Inc. otherBb&T Securities, LLC BD affiliatedOtherJan 18, 2018Apr 4, 2018 (76 d)
Cynthia Horn KennedyPrincipal Securities, Inc. otherT. Rowe Price Advisory Services, Inc. independent RIAOtherJan 8, 2018Oct 12, 2018 (277 d)
John Francis McdonaldPrincipal Securities, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 2, 2018Apr 20, 2018 (108 d)
Joel Kenneth BalamPrincipal Securities, Inc. otherLPL Financial LLC independent RIAOtherJan 2, 2018Dec 18, 2017
Kurt James ObermillerPrincipal Securities, Inc. otherNepsis Advisor Services, Inc. independent RIAOtherDec 31, 2017Jan 2, 2018
James Kermit NorlandPrincipal Securities, Inc. otherKestra Advisory Services, LLC otherOtherDec 31, 2017Feb 6, 2018 (37 d)
Michael L DaytonPrincipal Securities, Inc. otherThe Dayton Company Inc state registeredOtherDec 19, 2017Aug 17, 2018 (241 d)
Jamal William Abu-ShamalaPrincipal Securities, Inc. otherUBS Financial Services Inc. wirehouseOtherDec 18, 2017Nov 30, 2017
Robert Thomas CastellaniPrincipal Securities, Inc. otherCapital Analysts otherOtherDec 14, 2017Dec 4, 2017
Christopher John HansonPrincipal Securities, Inc. otherBalefire, LLC independent RIAOtherDec 14, 2017Dec 19, 2017
Dylan Matthew KvaalePrincipal Securities, Inc. otherWealth Watch Advisors, Inc otherOtherDec 14, 2017Dec 11, 2017
Dana Gene RauschPrincipal Securities, Inc. otherBalefire, LLC independent RIAOtherDec 14, 2017Dec 15, 2017
Moncherie Lenae MasonPrincipal Securities, Inc. otherGlobal Retirement Partners LLC otherOtherDec 13, 2017Dec 20, 2017
Robert Bruce YoungPrincipal Securities, Inc. otherConcourse Financial Group Advisors otherOtherDec 13, 2017Dec 1, 2017
Charles Marc NuwerPrincipal Securities, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherDec 8, 2017Dec 5, 2017
Jamie Patrick LynchPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherDec 4, 2017Apr 27, 2011
Joshua Alan ZimmermanPrincipal Securities, Inc. otherPsi Advisors, LLC otherOtherNov 21, 2017Nov 27, 2017
Rita Mary LatnhothaPrincipal Securities, Inc. otherMesirow Financial Investment Management, Inc. otherOtherNov 14, 2017Nov 28, 2017
Jon Murrow GreulichPrincipal Securities, Inc. otherIndependent Financial Group, LLC otherOtherNov 7, 2017Oct 31, 2017
Brian Scott MenzelPrincipal Securities, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 2, 2017Apr 13, 2018 (162 d)
Angela GillenPrincipal Securities, Inc. otherEdward Jones national BDOtherNov 2, 2017Nov 2, 2017
Charles Hardin HarrisonPrincipal Securities, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 1, 2017Oct 19, 2017
Toshie MiuraPrincipal Securities, Inc. otherPruco Securities, LLC otherOtherOct 13, 2017Oct 20, 2017
Scott Roger KimblePrincipal Securities, Inc. otherGlobal Retirement Partners LLC otherOtherOct 10, 2017Nov 7, 2017
Emlen T Miles-MattinglyPrincipal Securities, Inc. otherGen Next Wealth, Inc. state registeredOtherOct 10, 2017Jan 1, 2026 (3005 d)
Robert Sherman OnPrincipal Securities, Inc. otherMutual Of Omaha Investor Services, Inc. no RAUMOtherOct 10, 2017Oct 10, 2018 (365 d)
Joey John DominickPrincipal Securities, Inc. otherSnider Financial Group independent RIAOtherOct 10, 2017Mar 13, 2018 (154 d)
Paul Logan HerrickPrincipal Securities, Inc. otherBolt Wealth Management LLC state registeredOtherOct 10, 2017Jan 1, 2025 (2640 d)
Stavros MoforisPrincipal Securities, Inc. otherRegal Investment Advisors LLC otherOtherOct 10, 2017Oct 17, 2017
Marco Macy MeleroPrincipal Securities, Inc. otherPrime Capital Financial otherOtherOct 3, 2017Sep 27, 2017
Jean Jacques PierrePrincipal Securities, Inc. otherRegal Investment Advisors LLC otherOtherSep 27, 2017Oct 12, 2017
David Brandon CottrellPrincipal Securities, Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 21, 2017Sep 18, 2017
John Thomas DavisPrincipal Securities, Inc. otherCliftonlarsonallen Wealth Advisors, LLC otherOtherSep 11, 2017Sep 18, 2017
Andrew BrommerPrincipal Securities, Inc. otherEdward Jones national BDOtherSep 11, 2017Sep 15, 2017
John Shannon BehPrincipal Securities, Inc. otherGlobal Retirement Partners LLC otherOtherSep 6, 2017Sep 1, 2017
Sara Dawn StilesPrincipal Securities, Inc. otherRise Retirement, LLC state registeredOtherSep 6, 2017Dec 14, 2018 (464 d)
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1,562 moves match.