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 |
|---|---|---|---|---|---|
| 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 |
| Robert Stuart Holden | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 7, 2023 | Jul 27, 2023 |
| Charles Albert Rosenbaum | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 4, 2023 | Jul 27, 2023 |
| Chad Eric Neely | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2023 | Aug 30, 2024 (392 d) |
| Fernando Martin Davila | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2023 | Jul 31, 2023 |
| Woneita Carneisa Burdno | Principal Securities, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Sep 20, 2023 (51 d) |
| Sharon Kaye Jansma | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Jul 24, 2023 |
| Sheila Mae Brooks | Principal Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2023 | Jul 19, 2023 |
| Chelsey Lynn Koster | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2023 | Aug 11, 2023 |
| Robert Linhart Hughes | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Aug 3, 2023 |
| Nicholas Edward Cecere | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Jul 7, 2023 |
| Michael Fraser | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 29, 2023 | Nov 17, 2023 (141 d) |
| Courtenay Tamia Spencer | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 29, 2023 | Feb 6, 2025 (588 d) |
| Matthew Samson | Principal Securities, Inc. BD affiliated | Ica Group Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 | Jun 30, 2023 |
| Tahitta Diaz-Resto | Principal Securities, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 | Jul 14, 2023 |
| Michael Goldammer | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 14, 2023 | Jun 14, 2023 |
| Sean Lynch | Principal Securities, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2023 | Aug 16, 2024 (429 d) |
| Micah Strode | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2023 | Jun 1, 2023 |
| Geoffrey Thoth Barry | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 22, 2023 | May 17, 2023 |
| Sally Lynn Putnam | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2023 | May 15, 2023 |
| Christina Gillies Loranger | Principal Securities, Inc. BD affiliated | Mma Securities LLC no RAUM | Other | May 15, 2023 | Jun 20, 2023 (36 d) |
| Robert J Adler | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 11, 2023 | May 1, 2023 |
| Douglas Anthony Didominica | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 11, 2023 | May 1, 2023 |
| Joseph William Principe | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 11, 2023 | May 1, 2023 |
| David J Anderson | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 11, 2023 | Jun 13, 2023 (33 d) |
| Jennifer Dawn Williams | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 8, 2023 | May 1, 2023 |
| Rita Yvonne Ingram | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 8, 2023 | May 1, 2023 |
| Brian Didominica | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 8, 2023 | May 16, 2023 |
| Winston Alexander Waring | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2023 | May 3, 2023 |
| Jeffrey James Jordano | Principal Securities, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2023 | May 5, 2023 |
| Richard Andrew Murphy | Principal Securities, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Apr 26, 2023 | Aug 15, 2023 (111 d) |
| Luke Joseph Vandermillen | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Apr 24, 2023 | Apr 20, 2023 |
| Donna Kay Bradley | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 21, 2023 | Apr 17, 2023 |
| Kyle Robert Tatro | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 21, 2023 | Apr 17, 2023 |
| Melissa Bradley Sperling | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 19, 2023 | Apr 14, 2023 |
| Kevin Dale Gaut | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2023 | Apr 26, 2023 |
| Daniel Marc Berve | Principal Securities, Inc. BD affiliated | Balefire, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2023 | Apr 18, 2023 |
| Christopher Timothy Fide | Principal Securities, Inc. BD affiliated | Integrated Planning & Investments state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 11, 2023 | Apr 10, 2023 |
| Jonathan Benjamin Holt | Principal Securities, Inc. BD affiliated | Integrated Planning & Investments state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 10, 2023 | Apr 10, 2023 |
| Jonathan Michael Good | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 6, 2023 | Apr 17, 2023 |
| Richard Dodd Hammond | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2023 | Apr 3, 2023 |
| Luke John Saddlemire | Principal Securities, Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2023 | Apr 11, 2023 |
| Michael Alexander Rivera | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2023 | Jul 24, 2023 (117 d) |
| Giancarlo Marcelo Guizado | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2023 | Apr 10, 2023 |
| Brandon Uttich | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 17, 2023 | Mar 16, 2023 |
| Jonathan Mac Lafferty | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2023 | Mar 7, 2023 |
| Jared P Roaten | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2023 | Mar 2, 2023 |
| Matthew Kredit | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2023 | Mar 2, 2023 |
| Vincent Michael Primavera | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2023 | Feb 27, 2023 |
| Christopher Brandon Napholz | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 27, 2023 | Feb 22, 2023 |
| Sean Obrien | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2023 | Feb 13, 2023 |
| William Dax Symonds | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2023 | Feb 22, 2023 |
| Casey Justin Fry | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2023 | Feb 14, 2023 |
| Cynthia J Pillard | Principal Securities, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2023 | Mar 7, 2024 (386 d) |
| Kelli Ann Lynn | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2023 | Mar 3, 2023 |
| Tina Marie Grenlie | Principal Securities, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2023 | Jan 30, 2023 |
| Laura L Coats | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2023 | Jan 24, 2023 |
| Kip Duane Hutto | Principal Securities, Inc. BD affiliated | Wealth Management Of Kentucky, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 30, 2023 | Feb 2, 2023 |
| James Edward Mills | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 30, 2023 | Feb 1, 2023 |
| Jackson Ward | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2023 | Jul 25, 2024 (542 d) |
1,561 moves match.