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 |
|---|---|---|---|---|---|---|---|---|
| James Franklin Reinhardt | 1324204 | 1 | 02/08/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Keith McDonough | 1511844 | 3 | 06/12/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Coke Bates | 3141110 | 3 | 11/16/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Coke Bates | 3141110 | 3 | 08/19/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Coke Bates | 3141110 | 3 | 04/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 04/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Colben Saboe | 4910998 | 3 | 07/28/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Francis Robert | 1615798 | 2 | 06/24/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Helen Barton Skinner | 1741324 | 1 | 10/26/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dax James Welsheimer | 2767268 | 1 | 06/01/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |