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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Craig Flanagan | 7349518 | 3 | 02/07/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Craig Flanagan | 7349518 | 3 | 09/01/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Craig Flanagan | 7349518 | 3 | 07/06/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maureen Marie Ferrone | 4189999 | 1 | 06/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Judson Richard Miller | 5712338 | 1 | 04/19/2023 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| David McNeilly | 6137277 | 1 | 07/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benny E Burison | 5216793 | 1 | 05/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Wesley Pitt | 6699078 | 1 | 12/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael L Greene | 7085676 | 2 | 05/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Gary Meza | 7068288 | 1 | 04/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |