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 Richard Deprospero | 1679021 | 2 | 02/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Richard Deprospero | 1679021 | 2 | 12/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Signe Marie Nelson-Combs | 5834293 | 2 | 07/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 04/06/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Belman | 1711126 | 8 | 10/05/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Rae Howell | 2544035 | 5 | 08/14/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin M Alarid | 2987965 | 5 | 02/08/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Rae Howell | 2544035 | 5 | 12/19/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Presley Austin Carter | 841616 | 3 | 08/18/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Belman | 1711126 | 8 | 12/16/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |