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 |
|---|---|---|---|---|---|---|---|---|
| Kevin M Alarid | 2987965 | 5 | 03/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 11/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 11/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 09/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Rudolph Walters | 5275976 | 1 | 08/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Royal Kuitu | 4397314 | 5 | 05/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Belman | 1711126 | 8 | 10/31/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph F Bethmann | 5823750 | 2 | 10/12/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Belman | 1711126 | 8 | 09/13/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Craig Brantley | 4276769 | 3 | 02/17/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |