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
Oscar VarelaPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherFeb 2, 2017Feb 3, 2017
Kevin Robert HansenPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 30, 2017Mar 8, 2017 (37 d)
Kraig Lee KuhlersPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 30, 2017Feb 24, 2017
Bret James BussanmasPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 30, 2017Mar 22, 2017 (51 d)
Joshua Matthew MathiasPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 30, 2017Feb 16, 2017
Stacey Paulette SullivanPrincipal Securities, Inc. otherCuso Financial Services, L.P. otherOtherJan 27, 2017Jan 17, 2017
Christopher JorgensenPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 26, 2017Feb 14, 2017
Christopher James ConnellyPrincipal Securities, Inc. otherVoya Financial Advisors, Inc. BD affiliatedOtherJan 25, 2017Apr 30, 2019 (825 d)
Kirk AlbinPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 25, 2017Feb 10, 2017
Douglas E GrauPrincipal Securities, Inc. otherInfinity Financial Services unclassifiedOtherJan 20, 2017Oct 18, 2016
Matthew QuickPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherJan 20, 2017Jan 20, 2017
George James CoulesPrincipal Securities, Inc. otherWfg Advisors, LP otherOtherJan 20, 2017May 8, 2017 (108 d)
James Joseph CarbonePrincipal Securities, Inc. otherAmeritas Advisory Services, LLC BD affiliatedOtherJan 19, 2017Mar 12, 2026 (3339 d)
Joseph Robert RossiPrincipal Securities, Inc. otherCharles Schwab & Co., Inc. national BDOtherJan 12, 2017Nov 14, 2018 (671 d)
Matthew Robert EngstromPrincipal Securities, Inc. otherSecured Retirement Advisors, LLC independent RIAOtherJan 10, 2017Jan 5, 2017
Alfredo Augusto MonteiroPrincipal Securities, Inc. otherJohn Hancock Personal Financial Services, LLC BD affiliatedOtherJan 9, 2017Mar 21, 2022 (1897 d)
Evon Peter MendrinPrincipal Securities, Inc. otherPathways Advisory Group, Inc. independent RIAOtherJan 6, 2017Dec 21, 2018 (714 d)
Craig M KilmerPrincipal Securities, Inc. otherLPL Financial LLC BD affiliatedOtherDec 31, 2016Jul 16, 2025 (3119 d)
Scott KinePrincipal Securities, Inc. otherOn Investment Management Co otherOtherDec 31, 2016Jan 3, 2017
Teresa Elizabeth GrayPrincipal Securities, Inc. otherSheridan Road Advisors, LLC, A Hub International Company institutionalOtherDec 31, 2016Jul 2, 2021 (1644 d)
Douglas Arthur ClermontPrincipal Securities, Inc. otherTlg Advisors, Inc. otherOtherDec 31, 2016Jan 4, 2017
Kirby Wen ChienPrincipal Securities, Inc. otherEdward Jones national BDOtherDec 31, 2016Apr 24, 2017 (114 d)
Steven Michael BazisPrincipal Securities, Inc. otherHub Investment Partners, LLC independent RIAOtherDec 27, 2016Jul 14, 2026 (3486 d)
Garrett Douglas DastrupPrincipal Securities, Inc. otherAvantax Advisory Services otherOtherDec 20, 2016Jan 13, 2017
Mcfaddin MoisePrincipal Securities, Inc. otherCalton & Associates, Inc. otherOtherDec 9, 2016Mar 1, 2017 (82 d)
Kirk Anthony SempsrottPrincipal Securities, Inc. otherSpc otherOtherDec 7, 2016Nov 21, 2016
Paul Allan LankauPrincipal Securities, Inc. otherFirst Horizon Advisors, Inc otherOtherDec 1, 2016Nov 29, 2016
Jared Toshiyuki TanimotoPrincipal Securities, Inc. otherSedai Wealth Partners LLC unclassifiedOtherNov 30, 2016Apr 21, 2017 (142 d)
Clark Naylor CallawayPrincipal Securities, Inc. otherCapital Investment Advisory Services, LLC otherOtherNov 28, 2016Nov 22, 2016
Jordan David FischerPrincipal Securities, Inc. otherRegal Investment Advisors LLC BD affiliatedOtherNov 28, 2016Sep 8, 2020 (1380 d)
Tate Douglas WilliamsonPrincipal Securities, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherNov 23, 2016Nov 23, 2016
Brandan Steven TeaguePrincipal Securities, Inc. otherPsi Advisors, LLC no RAUMOtherNov 16, 2016Jan 18, 2017 (63 d)
Thomas Joseph VenturaPrincipal Securities, Inc. otherThrivent Investment Management Inc. BD affiliatedOtherNov 15, 2016May 26, 2022 (2018 d)
Douglas Ross PeetePrincipal Securities, Inc. otherGlobal Retirement Partners LLC otherOtherNov 14, 2016Nov 7, 2016
Mathew JohnsonPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherNov 4, 2016Nov 4, 2016
Frances Marie LongshorePrincipal Securities, Inc. otherTucker Asset Management LLC independent RIAOtherOct 25, 2016Apr 9, 2021 (1627 d)
Eric Damien EatonPrincipal Securities, Inc. otherPsi Advisors, LLC no RAUMOtherOct 24, 2016Jan 11, 2017 (79 d)
Andrew Allen OsbyPrincipal Securities, Inc. otherIntegrity Alliance, LLC otherOtherOct 18, 2016Oct 17, 2016
Michele Joi DelsordoPrincipal Securities, Inc. otherLPL Financial LLC otherOtherOct 14, 2016Oct 24, 2016
Tamara Lynn SmithPrincipal Securities, Inc. otherPeterson Financial Group, Inc. independent RIAOtherOct 6, 2016Nov 10, 2016 (35 d)
Jayne ChristianPrincipal Securities, Inc. otherKestra Advisory Services, LLC otherOtherSep 30, 2016Oct 28, 2016
Kurt Josef HoffmannPrincipal Securities, Inc. otherCharles Schwab & Co., Inc. national BDOtherSep 26, 2016Jul 9, 2018 (651 d)
Gregory William GlynnPrincipal Securities, Inc. otherFirst Command Advisory Services BD affiliatedOtherSep 15, 2016Jul 2, 2024 (2847 d)
Richard Anthony AnelloPrincipal Securities, Inc. otherSagepoint Financial, Inc. otherOtherAug 26, 2016Aug 23, 2016
Justin Lawrence WillisPrincipal Securities, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherAug 26, 2016Nov 19, 2018 (815 d)
Kimberly Ann FlynnPrincipal Securities, Inc. otherKlarity Financial LLC unclassifiedOtherAug 24, 2016Sep 14, 2016
Dennis Ryan RomneyPrincipal Securities, Inc. otherGlobal Retirement Partners LLC otherOtherAug 22, 2016Aug 22, 2016
Laura K MastinPrincipal Securities, Inc. otherPrincipal Asset Management otherOtherAug 12, 2016Aug 12, 2016
Mark Sean KellyPrincipal Securities, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherAug 8, 2016Aug 1, 2016
Gary LuPrincipal Securities, Inc. otherState Farm Investment Management Corp. asset managerOtherAug 2, 2016Feb 5, 2026 (3474 d)
Carlie Jane RansomPrincipal Securities, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherJul 27, 2016Jul 18, 2016
Jose Ismael MedinaPrincipal Securities, Inc. otherJ I Medina Investments, LLC state registeredOtherJul 26, 2016Jan 5, 2021 (1624 d)
Eric Allen ObergfellPrincipal Securities, Inc. otherGlobal Retirement Partners LLC otherOtherJul 21, 2016Aug 24, 2016 (34 d)
Nathan Patrick GrantPrincipal Securities, Inc. otherWells Fargo Advisors wirehouseOtherJul 21, 2016Aug 24, 2017 (399 d)
Pradip Bhagwanji ShahPrincipal Securities, Inc. otherMorgan Stanley wirehouseOtherJul 19, 2016Jul 12, 2016
Donald I RhodesPrincipal Securities, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 14, 2016Jul 27, 2016
Polly Jane BrooksPrincipal Securities, Inc. otherMma Securities LLC no RAUMOtherJun 29, 2016Aug 21, 2026 (3705 d)
Sarah Ann NuernbergPrincipal Securities, Inc. otherAmeriprise Financial Services, LLC national BDOtherJun 14, 2016Jan 9, 2026 (3496 d)
William Terrill SchenckPrincipal Securities, Inc. otherMwa Financial Services, Inc. independent RIAOtherJun 8, 2016Sep 24, 2018 (838 d)
Nicholas John GolebiowskiPrincipal Securities, Inc. otherEquitable Advisors, LLC national BDOtherJun 6, 2016Jun 1, 2016
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1,562 moves match.