Francis Joseph D'alia
Investment adviser representative at Principal Securities, Inc.
11 yearsExperience
2 statesRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- D'alia Wealth ManagementJul 2026 to now
- Principal Securities, Inc.Jun 2024 to now
- Principal Life Insurance CompanyJun 2024 to now
- UnemployedFeb 2024 to Jun 2024
- Dimensional Fund AdvisorsAug 2021 to Feb 2024
- The Vanguard Group, Inc.Nov 2019 to Jul 2021
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 2019 to Oct 2019
- Coldwell BankerJan 2019 to Mar 2019
- Bold New YorkNov 2018 to Jan 2019
- Make It Nice GroupOct 2017 to Nov 2017
- AdoramaAug 2017 to Oct 2018
- Fran's Pro Photo, LLCJul 2017 to Jun 2019
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 2015 to Jul 2017
Exams passed
- Series 66 · Uniform Combined State Law2015
- Series 63 · Uniform Securities Agent State Law2020
- Series 65 · Uniform Investment Adviser Law2021
State registrations
Registered as an investment adviser representative in 2 states (NJ, TX).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5954274
- Firm CRD
- 1137