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 |
|---|---|---|---|---|---|
| Matthew G Bral | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 17, 2022 | Aug 9, 2022 |
| Conor J Boffeli | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 17, 2022 | Aug 9, 2022 |
| Kay Lynn Mickelson | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 16, 2022 | Aug 9, 2022 |
| Laura Jane Hertges | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 16, 2022 | Aug 9, 2022 |
| James David Mohr | Principal Securities, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2022 | Jul 22, 2022 |
| Lori Keech | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 21, 2022 | Jul 19, 2022 |
| Brian Douglas Self | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 21, 2022 | Jul 18, 2022 |
| Francis Randall | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 12, 2022 | Jul 7, 2022 |
| David Beau Boren | Principal Securities, Inc. BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2022 | Jul 19, 2022 |
| Steven Daniel Thomas Bragg | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Jun 16, 2022 |
| Karla Davis Johnson | Principal Securities, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 27, 2022 | Jun 30, 2022 |
| Brian Stanley Brandt | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 23, 2022 | Jun 16, 2022 |
| Bert William Mcclintock | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 23, 2022 | Jun 16, 2022 |
| Jeffrey Andrew Haugse | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 23, 2022 | Jun 16, 2022 |
| Jordan Joseph Kuehner | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 23, 2022 | Jun 16, 2022 |
| Lawrence W Witzel | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 22, 2022 | Jun 16, 2022 |
| Michelle Pham Tran | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2022 | Jul 29, 2022 (42 d) |
| Andrew David Morales | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 17, 2022 | Aug 17, 2022 (61 d) |
| Paul Groeschel-Johnson | Principal Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2022 | Jun 29, 2022 |
| Daniel Aaron Friedman | Principal Securities, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 13, 2022 | Jun 29, 2022 |
| Darren Paul Summers | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 13, 2022 | Jun 3, 2022 |
| Gabriel Reyes | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2022 | Oct 14, 2022 (123 d) |
| Thomas John Alexander | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2022 | May 27, 2022 |
| John Newton Holding | Principal Securities, Inc. BD affiliated | Credit Union Investment Services state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 25, 2022 | Jun 1, 2022 |
| Zachary John Zewiske | Principal Securities, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 25, 2022 | Jul 14, 2022 (50 d) |
| Benjimin James June | Principal Securities, Inc. BD affiliated | Asset Allocation Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 16, 2022 | Nov 4, 2024 (903 d) |
| Jonathan Enoch Copeland | Principal Securities, Inc. BD affiliated | Securian Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2022 | Jun 1, 2022 |
| James Ashley Renfroe | Principal Securities, Inc. BD affiliated | Arista Consulting Group unclassified | Other | May 10, 2022 | Jun 9, 2022 |
| Jordan Steven-Keith Dalton | Principal Securities, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2022 | May 9, 2022 |
| Chad Michael Houchin | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 29, 2022 | Jun 8, 2022 (40 d) |
| Jason Alexander Lipka | Principal Securities, Inc. BD affiliated | Kathmere Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2022 | Mar 27, 2024 (699 d) |
| Travis William Johanson | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2022 | Jul 28, 2022 (107 d) |
| Rachael Elizabeth Thorn | Principal Securities, Inc. BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2022 | Apr 22, 2022 |
| Yue Fiona Yang | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 12, 2022 | Jul 27, 2022 (106 d) |
| Mark David Newcomb | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 6, 2022 | Apr 4, 2022 |
| Jonathan Patrick Berg | Principal Securities, Inc. BD affiliated | Faircourt Partners, LLC institutional | Other | Apr 4, 2022 | Jan 1, 2026 (1368 d) |
| Joseph Golebiowski | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2022 | Mar 24, 2022 |
| Mark Patrick Hentschel | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2022 | Feb 28, 2022 |
| Sagen Richard Augustin | Principal Securities, Inc. BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Mar 3, 2022 |
| Brett Thomas Straub | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 | Feb 25, 2022 |
| Stephanie B Wade | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 | Feb 25, 2022 |
| Timothy Sean Hollinger | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2022 | Mar 2, 2022 |
| Rainey Steven Rogers | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2022 | Feb 8, 2022 |
| Rainey Steven Rogers | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2022 | Feb 8, 2022 |
| Paul Jacob Rogers | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2022 | Mar 8, 2022 |
| Hannah O Sledd | Principal Securities, Inc. BD affiliated | Paces Ferry Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2022 | Feb 17, 2022 |
| Dawn Elizabeth Wolfgram | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 8, 2022 | Feb 24, 2022 |
| Brandon C Campbell | Principal Securities, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2022 | Nov 23, 2022 (293 d) |
| Kimberly Hinton Loftin | Principal Securities, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2022 | Feb 4, 2022 |
| Bert Patrick Ward | Principal Securities, Inc. BD affiliated | Capacuity LLC other | Other | Jan 23, 2022 | Mar 22, 2022 (58 d) |
| Andrew Murdoch | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 23, 2022 | Jan 21, 2022 |
| Angela Marie Ault | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Jan 20, 2022 | Jan 24, 2022 |
| Lyndon Nicholas Crawford | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2022 | Jan 18, 2022 |
| Sarah Ann Fullerton | Principal Securities, Inc. BD affiliated | World Investment Advisors, LLC institutional | Other | Jan 14, 2022 | Jan 12, 2022 |
| Dwight Christopher Larkin | Principal Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 13, 2022 | Jan 31, 2022 |
| Jaggen Farwell | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 11, 2022 | Jul 26, 2022 (196 d) |
| Jeremy Buhr | Principal Securities, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 11, 2022 | Jan 26, 2022 |
| Kristin Meredith Alexander | Principal Securities, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2022 | Jan 10, 2022 |
| David William Kempfe | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2022 | Jan 26, 2022 |
| Jaron Dale Nemes | Principal Securities, Inc. BD affiliated | World Investment Advisors, LLC institutional | Other | Jan 4, 2022 | Jan 5, 2022 |
1,561 moves match.