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 |
|---|---|---|---|---|---|---|---|---|
| Jared Austn Smith | 7583969 | 5 | 02/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Riegle | 6461243 | 3 | 12/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Austn Smith | 7583969 | 5 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Austn Smith | 7583969 | 5 | 11/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Masterson | 6771718 | 2 | 11/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Masterson | 6771718 | 2 | 11/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garrison Ellington Goodlett | 6015665 | 3 | 10/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Edwin Lemke | 6413482 | 2 | 10/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garrison Ellington Goodlett | 6015665 | 3 | 10/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melinda A Harris | 4511881 | 1 | 08/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |