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.

1,563 moves

Advisor	From	To	Type	Left	Registered
Nicholas John Golebiowski	Principal Securities, Inc. other	Equitable Advisors, LLC national BD	Other	Jun 6, 2016	Jun 1, 2016
Nathanael C Darnieder	Principal Securities, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	May 23, 2016	Jun 13, 2016
Nicholas Errold Nelson	Principal Securities, Inc. other	Shp Wealth Management, LLC other	Other	May 17, 2016	Jun 20, 2016 (34 d)
Dustin William Scobey	Principal Securities, Inc. other	Pruco Securities, LLC other	Other	Apr 19, 2016	Apr 26, 2016
Lanning Shane Whitehead	Principal Securities, Inc. other	Pruco Securities, LLC other	Other	Apr 19, 2016	Jun 1, 2016 (43 d)
Matthew Ryan Collier	Principal Securities, Inc. other	Northwestern Mutual Investment Services,LLC no RAUM	Other	Apr 15, 2016	Apr 28, 2016
Christina Anne Tunison	Principal Securities, Inc. other	Mmc Securities LLC no RAUM	Other	Apr 12, 2016	May 10, 2016
Joel Richard Frank	Principal Securities, Inc. other	Apex Advisory Group, Inc. state registered	Other	Apr 8, 2016	May 7, 2016
Daniel L Mills	Principal Securities, Inc. other	Pruco Securities, LLC other	Other	Apr 7, 2016	Jul 8, 2016 (92 d)
Landis Tyler Wiley	Principal Securities, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Apr 6, 2016	Mar 24, 2016
William Alexander Edgar	Principal Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 28, 2016	Mar 2, 2017 (339 d)
Diana Michele Groh	Principal Securities, Inc. other	Questar Asset Management, Inc. other	Other	Mar 22, 2016	May 25, 2016 (64 d)
Shannon Walter Lewandoski	Principal Securities, Inc. other	MML Investors Services, LLC other	Other	Mar 21, 2016	May 10, 2016 (50 d)
Ryan Burgess	Principal Securities, Inc. other	Spc other	Other	Mar 9, 2016	Mar 11, 2016
Douglass Jeffrey Paine	Principal Securities, Inc. other	Securian Financial Services, Inc. independent RIA	Other	Mar 8, 2016	May 9, 2023 (2618 d)
Matthew Ray Bott	Principal Securities, Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Mar 1, 2016	Mar 1, 2016
Alan Martin Molnar	Principal Securities, Inc. other	Transamerica Retirement Advisors, LLC other	Other	Feb 25, 2016	Mar 29, 2016 (33 d)
Bradley Jay Barinsky	Principal Securities, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Feb 24, 2016	Feb 2, 2016
Michael Edward Hipson	Principal Securities, Inc. other	Ameritas Advisory Services, LLC BD affiliated	Other	Feb 22, 2016	Nov 1, 2021 (2079 d)
Robert Lane Stephenson	Principal Securities, Inc. other	Voya Financial Partners, LLC other	Other	Feb 17, 2016	May 13, 2016 (86 d)
Jeffery Neal Hughes	Principal Securities, Inc. other	Securities America Advisors, Inc. other	Other	Feb 16, 2016	Mar 23, 2016 (36 d)
Brent Cameron Hudson	Principal Securities, Inc. other	Synovus Securities, Inc. other	Other	Feb 11, 2016	Feb 8, 2016
Justin Stephen Vaught	Principal Securities, Inc. other	Principal Asset Management other	Other	Feb 2, 2016	Feb 10, 2017 (374 d)
Karl Gregory Salocks	Principal Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 19, 2016	Jan 29, 2016
Patrick Gerard Manzi	Principal Securities, Inc. other	Citigroup Global Markets Inc. BD affiliated	Other	Jan 13, 2016	Aug 17, 2021 (2043 d)
Richard Carl Jackson	Principal Securities, Inc. other	First Heartland Consultants, Inc. other	Other	Jan 13, 2016	Jan 13, 2016
Dwight Glenn Edwards	Principal Securities, Inc. other	Raymond James & Associates, Inc. national BD	Other	Jan 12, 2016	Mar 14, 2016 (62 d)
Daniel R Callahan	Principal Securities, Inc. other	Citizens Securities, Inc. other	Other	Jan 11, 2016	Jan 4, 2016
Jevon Kelvin Thomas	Principal Securities, Inc. other	World Equity Group, Inc. other	Other	Jan 6, 2016	Oct 5, 2017 (638 d)
Jessica Renee Carnes	Principal Securities, Inc. other	Worth Advisors independent RIA	Other	Jan 4, 2016	Jan 26, 2016
Michael Richard Schwartz	Principal Securities, Inc. other	Investment Centers Of America, Inc. other	Other	Jan 4, 2016	Dec 23, 2015
Camryn Danielle Holt	Principal Securities, Inc. other	Wealthplan Advisors, LLC other	Other	Dec 17, 2015	Dec 9, 2015
Brian Scott Regier	Principal Securities, Inc. other	Commonwealth Financial Network national BD	Other	Dec 9, 2015	Dec 1, 2015
Craig Otto Brueckner	Principal Securities, Inc. other	Commonwealth Financial Network national BD	Other	Dec 9, 2015	Dec 1, 2015
Craig James Sullivan	Principal Securities, Inc. other	Commonwealth Financial Network national BD	Other	Dec 9, 2015	Dec 1, 2015
John Steven Costa	Principal Securities, Inc. other	Influx Capital Management state registered	Other	Dec 8, 2015	Feb 10, 2016 (64 d)
Carl Roger Hendrix	Principal Securities, Inc. other	Stancorp Investment Advisers, Inc. other	Other	Nov 19, 2015	Dec 14, 2015
Kevin Cunniff	Principal Securities, Inc. other	Thrivent Investment Management Inc. other	Other	Nov 17, 2015	Jan 18, 2016 (62 d)
Michelle Chavez	Principal Securities, Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Nov 16, 2015	Mar 21, 2016 (126 d)
David Scott Trettel	Principal Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 23, 2015	Nov 10, 2015
Steven Mark Cervantes	Principal Securities, Inc. other	Wealthfront Advisers LLC other	Other	Oct 22, 2015	Nov 6, 2015
Michael Hanania Benklifa	Principal Securities, Inc. other	MML Investors Services, LLC other	Other	Oct 8, 2015	Mar 5, 2018 (879 d)
Christopher Eugene Cubbage	Principal Securities, Inc. other	Kms Financial Services, Inc BD affiliated	Other	Oct 5, 2015	Jun 5, 2018 (974 d)
Grant Richard Argall	Principal Securities, Inc. other	Global Retirement Partners LLC other	Other	Oct 5, 2015	Mar 16, 2018 (893 d)
Christopher David Strother	Principal Securities, Inc. other	World Investment Advisors, LLC other	Other	Oct 5, 2015	Apr 5, 2016 (183 d)
Robert Steven Benites	Principal Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 5, 2015	Sep 29, 2015
Robert Harrison Evans	Principal Securities, Inc. other	Level Four Advisory Services other	Other	Oct 5, 2015	Oct 5, 2015
Michael Jay Murkins	Principal Securities, Inc. other	U.S. Bancorp Investments, Inc. BD affiliated	Other	Oct 2, 2015	May 7, 2019 (1313 d)
Lisa Marie Vnoucek	Principal Securities, Inc. other	Cetera Investment Advisers LLC other	Other	Sep 17, 2015	Oct 27, 2015 (40 d)
Ryanne Ashley Harmann	Principal Securities, Inc. other	Acropolis Investment Management other	Other	Sep 11, 2015	Sep 14, 2015
Timothy David Riggs	Principal Securities, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Aug 25, 2015	Aug 18, 2015
Michael Jon Abbate	Principal Securities, Inc. other	Smc Advisory Network, LLC unclassified	Other	Aug 25, 2015	Jul 30, 2015
Brenton James Goers	Principal Securities, Inc. other	Cetera Investment Advisers LLC other	Other	Aug 18, 2015	Aug 18, 2015
Joseph A Weber	Principal Securities, Inc. other	Osaic Fa, Inc. other	Other	Aug 18, 2015	Jul 17, 2015
Todd John Johnson	Principal Securities, Inc. other	Voya Financial Partners, LLC other	Other	Aug 17, 2015	Aug 24, 2015
Kari J Smith	Principal Securities, Inc. other	Lw Advisors, L.L.C. state registered	Other	Aug 10, 2015	Aug 7, 2015
Mckenzie Lee Johnson	Principal Securities, Inc. other	Nfp Advisor Services, LLC other	Other	Aug 10, 2015	Aug 7, 2015
Amanda Kaye Lyons	Principal Securities, Inc. other	Cornerstone Capital Advisors other	Other	Aug 10, 2015	Aug 5, 2015
Mark Thomas Stritt	Principal Securities, Inc. other	Onedigital other	Other	Aug 4, 2015	Aug 7, 2015
Arthur Jacob Winston	Principal Securities, Inc. other	Voya Financial Advisors, Inc. other	Other	Jul 27, 2015	Jan 5, 2016 (162 d)

Page 16 of 27Previous Next