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 |
|---|---|---|---|---|---|---|---|---|
| Susan Lee Bell | 4818391 | 1 | 06/13/2017 | 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 |
| Christopher Warren Bibow | 3103035 | 2 | 04/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregery Dean Odell | 1809666 | 2 | 04/07/2017 | 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 |
| Joel A Poole | 7222796 | 2 | 02/28/2017 | 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 |
| 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 |
| Charlotte Marie MacKelvey | 2201473 | 4 | 08/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |