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 |
|---|---|---|---|---|---|---|---|---|
| Louis Francis Robert | 1615798 | 2 | 01/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Murry Resler | 2954207 | 5 | 11/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Murry Resler | 2954207 | 5 | 11/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charlotte Marie MacKelvey | 2201473 | 4 | 08/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charlotte Marie MacKelvey | 2201473 | 4 | 07/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jay Jensen | 6266264 | 1 | 07/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 05/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregery Dean Odell | 1809666 | 2 | 05/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 05/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |