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 |
|---|---|---|---|---|---|---|---|---|
| Parker Wakefield Smith | 7414146 | 1 | 03/31/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mindy Ann Mondaro | 1791243 | 1 | 11/21/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Neal Wayne Cloer | 5575413 | 1 | 02/21/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Anne Herrick | 6712099 | 1 | 09/12/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taylor R Archer | 7123474 | 1 | 03/13/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Thomas MacGowan | 7434582 | 1 | 10/19/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kara Anderson | 7264861 | 1 | 07/06/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Carlin Fernandez | 2318990 | 2 | 07/11/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Edwin Lemke | 6413482 | 2 | 12/13/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Royal Kuitu | 4397314 | 5 | 10/15/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |