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 |
|---|---|---|---|---|---|---|---|---|
| David McNeilly | 6137277 | 1 | 07/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard John Carroll | 4972371 | 1 | 07/28/2022 | 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 |
| William Justin Nichols | 6939578 | 1 | 01/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Struebing | 2158429 | 1 | 11/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mercedes Grace Cole | 1926134 | 1 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheyanne Leroux Ingram | 2996017 | 1 | 02/19/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stacey Marie Duke | 6061714 | 1 | 01/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |