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 |
|---|---|---|---|---|---|---|---|---|
| Presley Austin Carter | 841616 | 3 | 02/24/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Craig Mercer | 3141886 | 2 | 11/17/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Craig Mercer | 3141886 | 2 | 09/20/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Latina Renay MacKey | 6714838 | 1 | 12/18/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Ray Johnson | 5054648 | 3 | 08/07/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Ray Johnson | 5054648 | 3 | 11/20/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |