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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Scott Woodham | 5193449 | 3 | 05/11/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Blake Rice | 5855441 | 1 | 02/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Connie D Marcum | 2242324 | 1 | 06/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Michael Darrah | 5394741 | 1 | 10/13/2015 | Customer Dispute | Denied | $13,816.20 | $0.00 | See FINRA Report |
| Dominic Frank Pellicano | 2295072 | 2 | 05/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eddie Ray Coleman | 5096893 | 1 | 05/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Merle Smith | 4846084 | 1 | 03/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph F Bethmann | 5823750 | 2 | 02/25/2015 | Customer Dispute | Denied | $7,305.00 | $0.00 | See FINRA Report |
| Nicholas R Flatness | 5141967 | 1 | 12/14/2014 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Randy Robert Rheault | 4594132 | 1 | 11/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |