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 |
|---|---|---|---|---|---|---|---|---|
| Stacey Marie Duke | 6061714 | 1 | 01/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan Francis White | 6220560 | 3 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan Francis White | 6220560 | 3 | 05/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan Francis White | 6220560 | 3 | 04/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel A Poole | 7222796 | 2 | 12/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Michelle Holder | 5064460 | 1 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trisha N Colby | 7189076 | 1 | 07/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Uno | 6137515 | 1 | 05/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |