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 |
---|---|---|---|---|---|---|---|---|
Margaret Melissa Raley | 6873485 | 1 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Presley Austin Carter | 841616 | 3 | 01/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Signe Marie Nelson-Combs | 5834293 | 2 | 01/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Sara Mills-Gaines | 5479702 | 5 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jeffrey James Riegle | 6461243 | 3 | 10/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jeffrey James Riegle | 6461243 | 3 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Arthur Stephen Cloutier | 1489752 | 1 | 09/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jennifer MacKenzie | 5670414 | 2 | 09/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |