Our Staff has compiled our research into a database of FINRA Broker Disclosures for Principal Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Heath Nikolas Smith | 4657958 | 1 | 10/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Casey Benjamin Head | 5288043 | 1 | 08/30/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Joe Edwards | 6916842 | 1 | 05/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Frank Pierce | 4330297 | 2 | 11/25/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michelle Lea Hoos | 6923677 | 2 | 01/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Frank Pierce | 4330297 | 2 | 08/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Lynam | 6064727 | 1 | 07/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shanna Michelle Ross | 5841494 | 1 | 04/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexis Nicole Devorss | 5122186 | 1 | 12/03/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sherry Johnson White | 3228999 | 1 | 10/18/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |