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 |
|---|---|---|---|---|---|---|---|---|
| Tyler James Olson | 6938888 | 1 | 03/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Ray Johnson | 5054648 | 3 | 02/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Wesley Wadkins | 5494700 | 6 | 12/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendell Dale Epps | 3060214 | 3 | 12/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jody Kent | 6687816 | 9 | 11/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 11/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Royal Kuitu | 4397314 | 5 | 10/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sara Mills-Gaines | 5479702 | 5 | 10/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Wesley Wadkins | 5494700 | 6 | 09/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jody Kent | 6687816 | 9 | 09/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |