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 |
|---|---|---|---|---|---|
| Serena Cole | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2022 | Nov 16, 2022 (316 d) |
| Glenn A Bittner | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Mar 18, 2022 (77 d) |
| Adam Matthew Tolbert | Principal Securities, Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2021 | Feb 15, 2022 (64 d) |
| Lawrence Michael Jacobs | Principal Securities, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2021 | Nov 29, 2021 |
| Robyn Jo Repetti | Principal Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Dec 2, 2021 | Jan 5, 2022 (34 d) |
| Jamie Kim Stenger | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Dec 1, 2021 | Nov 10, 2021 |
| Jami Kay Johnson | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2021 | Oct 16, 2023 (684 d) |
| Casey Mathias | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2021 | May 18, 2023 (542 d) |
| Cari Jo Domask | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 8, 2021 |
| Ryan J Kunz | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 8, 2021 |
| Austin Blake Luedtke | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 8, 2021 |
| Wayne Edward Ramsey | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 16, 2021 | Nov 12, 2021 |
| Don P Holt | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2021 | Nov 9, 2021 |
| Robert Bernhard Luedtke | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 10, 2021 | Nov 8, 2021 |
| Eric John Hollister | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2021 | Nov 10, 2021 |
| Michael Dennis Schuster | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2021 | Nov 5, 2021 |
| Matthew James Armstrong | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2021 | Nov 10, 2021 |
| Herson E Castaneda | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2021 | Nov 10, 2021 |
| Tad Michael Lyle | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2021 | Nov 3, 2021 |
| Dustin David Carr | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2021 | Nov 3, 2021 |
| Stephanie Kristine Carr | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2021 | Nov 3, 2021 |
| Daniel Shane Carnine | Principal Securities, Inc. BD affiliated | Thoroughbred Financial Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2021 | Nov 6, 2023 (728 d) |
| Angela Etscheidt | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2021 | Nov 1, 2021 |
| Corrie Daniel Feldotto | Principal Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Mar 24, 2022 (142 d) |
| Salvatore Spagnuolo | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2021 | Oct 19, 2021 |
| Chianna Daneen Rodgers | Principal Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2021 | Oct 21, 2021 |
| Laurie A Daven | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2021 | Apr 28, 2022 (190 d) |
| Bradford M Malloy | Principal Securities, Inc. BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2021 | Nov 12, 2021 |
| Noel John Anderson | Principal Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2021 | May 1, 2026 (1656 d) |
| Christopher Paul Brien | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2021 | Nov 16, 2021 |
| Michael Steven Kelly | Principal Securities, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2021 | Oct 6, 2021 |
| Carl Brent Anthony | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2021 | Sep 28, 2021 |
| Nicholas M Cecere | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Nov 8, 2021 (48 d) |
| Betty Jane Schuster | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 16, 2021 |
| Guillermo Andres Bailey | Principal Securities, Inc. BD affiliated | Empower Advisory Group, LLC other | Other | Sep 21, 2021 | Oct 7, 2021 |
| Leah Lynn Flaspohler | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 16, 2021 |
| Edward Thomas Munoz | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 9, 2021 |
| Mark Ramos | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 14, 2021 |
| Roberto D Calderon | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 21, 2021 | Oct 19, 2021 |
| John Patterson Corey | Principal Securities, Inc. BD affiliated | Thurston Springer Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2021 | Sep 29, 2021 |
| Trent R. Storino | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2021 | Nov 23, 2022 (434 d) |
| Ivana Musa | Principal Securities, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 15, 2021 | Oct 14, 2021 |
| Eric Anders Johnson | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2021 | Sep 10, 2021 |
| Terri V Groth | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2021 | Sep 20, 2021 |
| Steven Louis Urli | Principal Securities, Inc. BD affiliated | Voya Financial Partners, LLC no RAUM | Other | Sep 7, 2021 | Sep 21, 2021 |
| Bradley Riedel | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2021 | May 17, 2023 (622 d) |
| Shahriar Moshrefnoory | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2021 | Sep 17, 2021 |
| Jana K Castanon | Principal Securities, Inc. BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2021 | Aug 11, 2021 |
| Philip Mark Nybroten | Principal Securities, Inc. BD affiliated | Transcend Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 10, 2021 | Jul 16, 2021 |
| Clinton James Seefeldt | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2021 | Jul 20, 2021 |
| Lloyd Edward Shaw | Principal Securities, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2021 | Sep 8, 2021 (34 d) |
| Veronica Jo Smith | Principal Securities, Inc. BD affiliated | Iht Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2021 | Aug 20, 2021 |
| Nathan Maurice Burks | Principal Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 5, 2021 | Sep 29, 2021 (55 d) |
| Marc A Schmeeckle | Principal Securities, Inc. BD affiliated | Creative Planning Institutional Advisors, LLC institutional | Other | Jul 27, 2021 | Jul 27, 2021 |
| Bryson Wayne Urie | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2021 | Jun 30, 2021 |
| Joseph Watt Wilson | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2021 | Jun 29, 2021 |
| Blair Allan Jamieson | Principal Securities, Inc. BD affiliated | Transcend Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2021 | Jul 14, 2021 |
| James Martin Meussner | Principal Securities, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 20, 2021 | Jul 22, 2021 |
| James Robert Brennan | Principal Securities, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Jul 26, 2021 |
| Barbara Jean Kubesh | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2021 | Jun 25, 2021 |
1,561 moves match.