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 |
|---|---|---|---|---|---|---|---|---|
| Justin Royal Kuitu | 4397314 | 5 | 08/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 04/09/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 12/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nancy Ann Messerly | 7020453 | 1 | 11/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 10/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lauryn L Hays | 2193762 | 1 | 06/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ray Frank Avrett | 1704793 | 8 | 03/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Rae Howell | 2544035 | 5 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Craig Brantley | 4276769 | 3 | 05/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 04/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |