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 |
|---|---|---|---|---|---|---|---|---|
| Haley Beckwith Drake | 6904639 | 2 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tod David Ross | 4491814 | 2 | 08/12/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Haley Beckwith Drake | 6904639 | 2 | 04/10/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Robert Hall | 7843096 | 1 | 12/13/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Li Ballinger | 7038297 | 1 | 08/14/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Maureen Marie Ferrone | 4189999 | 1 | 06/01/2023 | Financial | 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 |