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 |
|---|---|---|---|---|---|---|---|---|
| Travis O'Dell Tullock | 4298819 | 1 | 03/16/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Mark Woller | 2596756 | 1 | 12/12/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Peter Castren | 2161241 | 1 | 09/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Alvin Jenkins | 6254580 | 2 | 07/27/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tod David Ross | 4491814 | 2 | 02/11/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathryn L Swenson | 4855819 | 1 | 02/16/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Alvin Jenkins | 6254580 | 2 | 05/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael J Muersch | 5369896 | 1 | 05/02/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maribel Anne Propp | 4749477 | 1 | 01/01/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Allen Jones | 2641785 | 1 | 11/09/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |