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 |
|---|---|---|---|---|---|---|---|---|
| Ray Frank Avrett | 1704793 | 8 | 11/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Dahl | 1261537 | 1 | 07/09/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carla Kay Beitzel | 1337908 | 1 | 01/01/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ray Frank Avrett | 1704793 | 8 | 11/14/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Hughes | 1752908 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |