PIMCO Investments replaced its dual Chief Compliance Officer and Chief Legal Officer, Revolut Securities named a new CCO, and 36 broker-dealer registration changes dominated a weekend filing cycle across 72 total events.

PIMCO Investments: New CCO and Chief Legal Officer

PIMCO Investments LLC (CRD 154957) in New York replaced Yitzhak Zvi Dubitzky (CRD 6897287), who had served as both Chief Compliance Officer and Chief Legal Officer, with Jordan Mitchell Murphy (CRD 4221561) in the combined role. PIMCO Investments is the broker-dealer distribution arm of Pacific Investment Management Company, one of the world's largest fixed income asset managers with over $2 trillion in assets under management.

The dual CCO/CLO role is common at asset management distribution broker-dealers, where regulatory compliance and legal oversight of fund marketing materials are closely intertwined. Transitions in this combined role affect how the firm supervises communications with financial advisors, institutional investors, and retail platforms that distribute PIMCO's mutual funds and ETFs.

Revolut Securities Names New CCO

Revolut Securities Inc. (CRD 304600) in New York replaced CCO Marcus Cole McCain (CRD 5279394) with Ashley Monique Butler (CRD 6934097). Revolut Securities is the U.S. broker-dealer subsidiary of Revolut, the London-based fintech that has been expanding its American operations. CCO transitions at fintech broker-dealers are closely watched by regulators, as these firms often operate at the intersection of traditional securities regulation and emerging technology-driven business models.

Nortlov Securities Separates FINOP From CEO/CCO

Nortlov Securities LLC (CRD 318546) in McDonough, Georgia, hired Tinahia Nachelle Sadler (CRD 6261220) as FINOP, PFO, and POO — taking those financial operations roles from CEO/CCO Joquinn Thomas Sadler (CRD 2817763), who now holds only the CEO and CCO titles. The separation of financial operations from the chief executive function improves governance by ensuring that the person certifying the firm's net capital compliance is not the same individual setting its business strategy.

Principal Securities Names New CCO

Principal Securities, Inc. (CRD 16485) in Des Moines replaced Charles E. Dye (CRD 4459534) as CCO with a new compliance leader. Principal Securities is the broker-dealer subsidiary of Principal Financial Group, a major insurance and asset management firm. CCO transitions at insurance-affiliated broker-dealers affect how the firm oversees the distribution of variable products, mutual funds, and retirement plan services.

36 Registration Changes Lead Activity

Thirty-six broker-dealer registration changes were filed — the highest single-day count in February and half of the day's total events. Weekend filing surges in registration changes are common as firms process state-level updates that accumulate during the business week. Five disclosure changes were recorded across the broker-dealer vertical.

Across the Wire

Nine personnel changes, five role changes, four executive departures, and four new hires were recorded. Two advisor moves and five RIA-related events rounded out the advisory channel — three firms graduated from the 120-day registration process while two failed. The day's low overall event count of 72 is consistent with typical weekend patterns, where automated filing processes generate bulk registration updates while personnel and enforcement activity pauses.

All data sourced from FINRA BrokerCheck, SEC EDGAR, and the Finleet Terminal as of February 8, 2026. Entity profiles are available at terminal.finleet.com.