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 |
|---|---|---|---|---|---|---|---|---|
| Jason Samuel Sperry | 6395167 | 1 | 05/17/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robin Dawn Baumgartner | 2532042 | 1 | 12/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Damien Anthony Martinez | 6873176 | 1 | 03/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tyler Joe Stevens | 5401728 | 1 | 10/26/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Quintrell L McCreary | 7709780 | 1 | 01/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Martin Skram | 5291205 | 1 | 09/25/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wendell Dale Epps | 3060214 | 3 | 04/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Wayne Scharmer | 2757481 | 1 | 11/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffery Fitzpatrick Strange | 7195186 | 1 | 11/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melinda Jo Pincus | 2735321 | 1 | 10/25/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |