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 |
|---|---|---|---|---|---|---|---|---|
| Haley Beckwith Drake | 6904639 | 2 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tod David Ross | 4491814 | 2 | 08/12/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Haley Beckwith Drake | 6904639 | 2 | 04/10/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Robert Hall | 7843096 | 1 | 12/13/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Li Ballinger | 7038297 | 1 | 08/14/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Mathew David Driscoll | 4425889 | 1 | 07/21/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Perry Lake | 2743754 | 1 | 01/12/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |