DFX Intelligence
RIA Intelligence
Advisor moves
Arrivals at Principal Advised Services
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 |
|---|---|---|---|---|---|
| Debra R Cinquemani | Thrivent Investment Management Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2022 | Aug 12, 2024 (647 d) |
| Michele Marie Farfan | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2022 | Nov 1, 2022 |
| Alister B Huss | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 | Oct 30, 2022 |
| Stephanie Kay Goins | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 | Oct 30, 2022 |
| William Stephen Taylor | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 | Oct 30, 2022 |
| Westin James Kaser | LPL Financial LLC independent RIA | Principal Advised Services independent RIA | RIA to RIA | Jul 11, 2022 | Oct 31, 2022 (112 d) |
| Nicholas Lloyd Akers | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 8, 2022 | Apr 18, 2024 (680 d) |
| Joshua Jeffrey Kistner | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 24, 2022 | Aug 12, 2024 (811 d) |
| Eric Scott Fitterer | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 24, 2022 | Apr 15, 2024 (692 d) |
| Matthew L Nelson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 5, 2022 | Aug 12, 2024 (860 d) |
| Craig J Engel | Allstate Financial Advisors, LLC BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 15, 2022 | Oct 30, 2022 (257 d) |
| Jesse S Froning | Principal Asset Management other | Principal Advised Services independent RIA | Other | Dec 31, 2021 | Jan 20, 2022 |
| Daniel S Schueren | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services independent RIA | Wirehouse to independent RIA | Sep 8, 2021 | Feb 19, 2024 (894 d) |
| Eric Vanderleek | Wells Fargo Advisors wirehouse | Principal Advised Services independent RIA | Wirehouse to independent RIA | Aug 16, 2021 | Feb 8, 2024 (906 d) |
| Aaron James Lacona | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 16, 2021 | Aug 9, 2024 (1120 d) |
| Dirk Johnston | Legacy Financial Group independent RIA | Principal Advised Services independent RIA | RIA to RIA | Jul 1, 2021 | Jul 28, 2021 |
| Kevin Philip Paulus | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 25, 2021 | Sep 26, 2024 (1189 d) |
| Andrew James Paolini | Wells Fargo Advisors wirehouse | Principal Advised Services independent RIA | Wirehouse to independent RIA | Jun 25, 2021 | Jun 23, 2023 (728 d) |
| John M Sniadajewski | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2021 | Aug 7, 2024 (1217 d) |
| John Whitney Cook | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2021 | May 20, 2024 (1138 d) |
| Catherine Elizabeth Francis | Raymond James & Associates, Inc. national BD | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Jan 3, 2023 (697 d) |
| Boedy Jess Tracy | Equitable Advisors, LLC national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2019 | Sep 18, 2024 (1856 d) |
| Brandy Sue Lamp | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 5, 2019 | Apr 26, 2019 |
| Bryce Michael Vandenriessche | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 4, 2019 | Aug 6, 2024 (1951 d) |
| Angelica Mendiola | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services independent RIA | Wirehouse to independent RIA | Apr 3, 2019 | Oct 31, 2022 (1307 d) |
| Brad Michael Schlichte | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 2, 2019 | Apr 25, 2019 |
| Jessica Ann Henricksen | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 31, 2018 | Dec 14, 2018 (44 d) |
| Andrea Lea Benson | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 17, 2018 | Dec 14, 2018 (58 d) |
| Ryan Gerardy | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 17, 2018 | Dec 14, 2018 (58 d) |
| Stanley Eugene Poorman | Learnvest Planning Services, LLC no RAUM | Principal Advised Services no RAUM | Other | Jun 7, 2018 | Dec 14, 2018 (190 d) |
| Bradley James Hanus | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 | Dec 14, 2018 (226 d) |
| Paul Evan Kranich | Strategic Advisers LLC national BD | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2018 | Nov 3, 2022 (1732 d) |
| Adam Keith Hatch | Equitable Advisors, LLC national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2017 | Aug 6, 2024 (2576 d) |
| Lori Ann Calloway | Voya Investment Management Co. LLC other | Principal Advised Services independent RIA | Other | Jan 9, 2017 | Jan 5, 2024 (2552 d) |
| Scott Stephen Cheeseman | Wells Fargo Advisors wirehouse | Principal Advised Services independent RIA | Wirehouse to independent RIA | Jul 6, 2015 | Jan 3, 2023 (2738 d) |
| William Kevin Burton | Msi Financial Services, Inc. other | Principal Advised Services independent RIA | Other | Nov 13, 2013 | Oct 31, 2022 (3274 d) |
| Joshua Ryan Kight | Waddell & Reed other | Principal Advised Services independent RIA | Other | May 8, 2012 | Oct 31, 2022 (3828 d) |
| Windy Sukming Seto | Wells Fargo Investments, LLC unclassified | Principal Advised Services independent RIA | Other | Nov 29, 2010 | Oct 31, 2022 (4354 d) |
| Jose-Luis Daniel Montiel | Principal Securities, Inc. other | Principal Advised Services independent RIA | Other | Jun 18, 2009 | Oct 31, 2022 (4883 d) |
| Susanna Harper Hartwig | Edward Jones national BD | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2008 | Oct 31, 2022 (5207 d) |
| Jeremy Joseph Smalley | Wells Fargo Investments, LLC unclassified | Principal Advised Services independent RIA | Other | Mar 26, 2007 | Oct 30, 2022 (5697 d) |
| Robert Gregory Annexstad | Principal Asset Management other | Principal Advised Services BD affiliated | Other | Mar 16, 2007 | Aug 28, 2024 (6375 d) |
| Todd Lee Hall | Osaic Fa, Inc. other | Principal Advised Services independent RIA | Other | Oct 23, 2006 | Oct 30, 2022 (5851 d) |
| Gabriel James Capps | Ameriprise Financial Services, LLC national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2006 | Sep 10, 2024 (6767 d) |
| Jeremy Fernandez | Ameriprise Financial Services, LLC national BD | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2005 | Jul 31, 2023 (6537 d) |
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105 moves match.