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 |
|---|---|---|---|---|---|
| Scott J Bradbury | Principal Securities, Inc. BD affiliated | Balefire, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2023 | Dec 20, 2023 |
| Mary Ellen Fiflis | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2023 | Dec 22, 2023 |
| John Thomas Gallinaro | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 5, 2023 | Dec 11, 2023 |
| Emily Joyce Marr | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Nov 28, 2023 | Dec 11, 2023 |
| Charles W Sleeth | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Jun 25, 2024 (212 d) |
| Robert Gregory Annexstad | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Nov 26, 2023 | Aug 3, 2006 |
| Kyle Doering | Principal Securities, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Apr 9, 2024 (135 d) |
| Rajwinder Kaur | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 12, 2024 (260 d) |
| Peter Kendrick | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 9, 2024 (257 d) |
| Kurtis Nolan | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Apr 18, 2024 (144 d) |
| Ian Michael Stratman | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 14, 2024 (262 d) |
| Amanda Louise Pritchard | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2023 | Feb 21, 2024 (87 d) |
| Jacob Michael Bugica | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 15, 2024 (263 d) |
| William Carroll | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 6, 2024 (254 d) |
| Alan Alexis Ponce Montes De Oca | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 26, 2023 | Sep 16, 2025 (660 d) |
| Samuel Lewis Crossley | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 17, 2023 | Nov 28, 2023 |
| Michael David Brown | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2023 | Nov 1, 2023 |
| Kevin K Bower | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2023 | Mar 7, 2024 (119 d) |
| Erik George Pedersen | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2023 | Nov 3, 2023 |
| Catherine S Deel | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2023 | Nov 1, 2023 |
| Jill Ehlers | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2023 | Nov 6, 2023 |
| Brandon James Bettis | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2023 | Mar 7, 2024 (120 d) |
| Lane Douglas Sires | Principal Securities, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2023 | Nov 16, 2023 |
| Haldun Arin | Principal Securities, Inc. BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2023 | Nov 1, 2023 |
| Brandon Laurence Arens | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2023 | Oct 29, 2023 |
| Jeffrey Paul Mcnaney | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2023 | Oct 27, 2023 |
| Lucas Rayburn Dancy-Cabeal | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2023 | Oct 30, 2023 |
| Liliana Maria Maes | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2023 | Oct 30, 2023 |
| Kenneth S Krell | Principal Securities, Inc. BD affiliated | T. Rowe Price Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2023 | Jul 5, 2024 (248 d) |
| Brian Marcus Ullrich | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 18, 2023 | Oct 16, 2023 |
| James Cameron | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2023 | Oct 25, 2023 |
| James Alban | Principal Securities, Inc. BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2023 | Jun 3, 2026 (961 d) |
| Dale Barton Sailors | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2023 | Nov 20, 2023 (38 d) |
| Brian Ashley Anderson | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2023 | Oct 16, 2023 |
| Christian Jose Dominguez | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2023 | Oct 6, 2023 |
| Justin R Nelson | Principal Securities, Inc. BD affiliated | Beacon Pointe Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2023 | Oct 9, 2023 |
| Aaron Norris Chesser | Principal Securities, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2023 | Oct 20, 2023 |
| Tricia Marie Seitelbach-Green | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Sep 19, 2023 |
| Mindy Suzanne Helfrich | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Sep 19, 2023 |
| Patrick Myron Ricketts | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Sep 19, 2023 |
| Kirstin J Ricketts | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Oct 2, 2023 |
| Michael Landis | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Jun 29, 2024 (274 d) |
| Alison Nicole White | Principal Securities, Inc. BD affiliated | Nia Impact Capital mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2023 | Oct 16, 2023 |
| Grant Thomas Booterbaugh | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2023 | Aug 31, 2023 |
| Timothy Paul Nelson | Principal Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Sep 26, 2023 | Oct 23, 2023 |
| Matthew Theodore Daniels | Principal Securities, Inc. BD affiliated | Elite Retirement Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2023 | Sep 21, 2023 |
| Robert Nicholas Zerah | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Aug 29, 2023 |
| William Gordon Lester | Principal Securities, Inc. BD affiliated | Voya Retirement Advisors, LLC other | Other | Sep 5, 2023 | Sep 11, 2023 |
| Colin Strapp | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2023 | May 22, 2025 (625 d) |
| Julie Ann Belles | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Sep 11, 2023 |
| Richard Simon Zerah | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 31, 2023 | Aug 29, 2023 |
| Paige Macy Lewis | Principal Securities, Inc. BD affiliated | Gallagher Fiduciary Advisors, LLC institutional | Other | Aug 28, 2023 | Nov 8, 2023 (72 d) |
| William Brian Dunker | Principal Securities, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2023 | Sep 12, 2023 |
| William Joseph Bradley | Principal Securities, Inc. BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2023 | Aug 1, 2023 |
| Jada Rain Cardwell | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2023 | Jul 28, 2023 |
| Michael Vincent Hunt | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Jul 27, 2023 |
| Katherine Everett Anders | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Aug 1, 2023 |
| Mary Theresa Norton | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Aug 1, 2023 |
| Elaine Jonczak Jolley | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Aug 2, 2023 |
| Benjamin Linzy Waples | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2023 | Aug 23, 2023 |
1,560 moves match.