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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Warren Bibow | 3103035 | 2 | 04/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Anthony Willett | 2702568 | 1 | 04/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin M Alarid | 2987965 | 5 | 03/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Austn Smith | 7583969 | 5 | 02/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Francis Robert | 1615798 | 2 | 01/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 01/01/2017 | 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 |