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 |
|---|---|---|---|---|---|---|---|---|
| Michael Liguori | 2025717 | 2 | 07/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Earl Harvey | 4922100 | 1 | 04/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sara Mills-Gaines | 5479702 | 5 | 03/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Dewayne Ruffin | 6619340 | 2 | 02/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Morgan Renee Crawford | 5904337 | 1 | 12/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sal Peter Tabuena | 2519601 | 1 | 06/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Belman | 1711126 | 8 | 04/18/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Royal Kuitu | 4397314 | 5 | 08/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sara Mills-Gaines | 5479702 | 5 | 06/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Troy L Allen | 5652541 | 1 | 10/22/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |