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PARKER WAKEFIELD SMITH
CRD#: 7414146
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 3625 Cumberland Blvd SE
Ste 1000
Atlanta, GA 30339
Registration History
20192020202120222023202420252026IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2022 - Present (3 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2021 - Present (3 years)
Disclosure(s)
View By:
3/31/2019
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 8/29/2024

B
Missouri 6/20/2024

B
Arizona 9/5/2024

B
New Jersey 7/27/2023

B
California 5/30/2023

B
North Carolina 4/15/2024

B
District of Columbia 1/23/2025

B
Ohio 2/22/2024

B
Florida 8/26/2024

B
Pennsylvania 10/9/2024

B
Georgia 1/7/2022

B
South Carolina 8/29/2024

IA
Georgia 1/19/2022

B
Tennessee 10/9/2024

B
Maryland 10/29/2024

B
Texas 2/22/2024

B
Massachusetts 9/12/2024

B
Vermont 10/8/2024

B
Michigan 10/10/2024

B
Virginia 9/3/2022

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 1/19/2022

B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
3625 Cumberland Blvd SE Ste 1000, Atlanta, GA 30339
Registered with this firm since 9/9/2021

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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.