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STEPHEN DALE NORTHINGTON
STEPHAN DALE NORTHINGTON
CRD#: 2355415
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 3625 Cumberland Blvd SE
Ste 1000
Atlanta, GA 30339
Registration History
1995200020052010201520202025IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2015 - Present (9 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2014 - Present (10 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2013 - 2014 (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1993 - 1995 (1 year)
Disclosure(s)
View By:
11/6/2024
Judgment / Lien
License(s)

State Registrations

B
Alabama 11/3/2014

B
Massachusetts 10/7/2021

B
Alaska 9/14/2021

B
Michigan 6/17/2024

B
Arizona 2/9/2022

B
New Jersey 7/20/2023

B
California 8/19/2019

B
New York 7/20/2023

B
Colorado 1/17/2017

B
North Carolina 9/16/2021

B
Connecticut 10/30/2023

B
Ohio 9/24/2023

B
Florida 11/3/2014

B
South Carolina 3/29/2021

B
Georgia 11/3/2014

B
Texas 1/6/2021

IA
Georgia 12/16/2015

IA
Texas 6/16/2021

B
Kentucky 8/4/2023

B
Virginia 4/19/2022

B
Maryland 4/28/2021

B
Washington 7/20/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
3625 Cumberland Blvd SE Ste 1000, Atlanta, GA 30339
Registered with this firm since 12/16/2015

B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
3625 Cumberland Blvd SE Ste 1000, Atlanta, GA 30339
Registered with this firm since 11/3/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/05/2013 - 10/31/2014 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BLOOMINGTON, IL
B
08/25/1993 - 02/03/1995 PRUCO SECURITIES CORPORATION (CRD#:5685)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.